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NORTH CAROLINA 



REGISTER 



VOLUI^^. 13 • ISST F 5 • Pages 435 - 534 



September 1,1998 



IN I UTS ISSUE 



on 
.._> Colleges 

1 1 Contractors, Board of Examiners 
I I lent and Natural Resources 

I i>^ liih and Human Services 



Kcal 1 state Appraisal Board 



•mmtssion 
I )ecisions 



PUBLISHED BY 

The Office of Administrative Hearings 
Rules Division 
PO Drawer 27447 
Raleigh, NC 27611-7447 
Telephone (919) 733-2678 
Fax (919) 733-3462 



RECEIVED 

SEP 9 1998 

KATHRINE R. EVERETT 
LAW LIBRARY 



This publication is printed on permanent, acid-free paper in compliance with G.S. 125-11. 13 



For those persons that have questions or concerns regarding the Administrative Procedure Act or any of its 
components, consult with the agencies below. The bolded headings are typical issues which the given 
agency can address, but are not inclusive. 



Rule Notices, Filings. Reaster, Deadlines, Copies of Proposed Rules, etc. 

Office of Administrative Hearings 
Rules Division 

Capehart-Crc • r House , > 

424 North Blouni Street -~ 

Raleigh, North Carolina 27601-2817 

contact: Mdly Masich, Director APA Services mmasich@oah.state.nc.us% 

Ruby Creech, Publications Coordinator rcreech@oah.state.nc.us 



(919) 733-2678 ^v 
(919)733-34;^2J[AX 



Fiscal Notes & Economic Analysis 

Office of State Budget and Management 

116 West Joiies Street 

Raleigh, Nprth Carolina 27603-8005 

i } I contact: Mark Sisak, Economist llli 



(919)733-7061 
|919) 733-0640 FAX 

msisak@osbm.state.nc.us 



Ruie Review and Legal Issues 

- Rules Review Commission 
' 1 307 Glenwood Ave., Suite 1 59 
Raleigh, North Carolina 27605 

contact; Joe DeLuca Jr., Staff Director Counsel 
Bobby Bryan. Staff Attorney 



(919)733-2721 
(919) 733-9415 FAX 



Legislative Process Concerning Rule-making 

Joint Legislative Administrative Procedure Oversi^t Committee 

545 Legislative Office Building 

300 North Salisbury Street (919) 733-2578 

Raleigh, North Carolina 2761 1 (919) 715-5460 FAX 



contact: Mary ShupiQg, Staff Liaison 



maiys(^ins.ncga.state.nc:tis 



County and Municipality Government Questions or Notification 

NC Association of County Commissioners 

2 1 5 North Dawson Street (9 1 9) 7 1 5-2893 

Raleigh, North Carolina 27603 

contact: Jim Blackburn or Rebecca Troutman 

NC League of Municipalities 

2 1 5 North Dawson Street (9 1 9) 7 1 5-4000 

Raleigh, North Carolina 27603 

contact: Paula Thomas 



This publication is printed on permanent, acid-free paper in compliance with G.S. 125-11.13 



NORTH CAROLINA 
REGISTER 




IN THIS ISSUE 



I. IN ADDITION 

HHS - Medical Assistance 435 

11. RULE-MAKING PROCEEDINGS 
Environment and Natural Resources 

Coastal Management 436 

Health and Human Services 

Mental Health. Developmental Disabilities and 

Substance Abuse Services 436 

Office of State Personnel 

State Personnel Commission 436 



Volume 13, Issue 5 
Pages 435 - 534 



September 1, 1998 



This issue contains documents officially filed 
through August 11, 1998. 



Office of Administrative Hearings 

Rules Division 

424 North Blount Street (27601) 

PO Drawer 27447 

Raleigh. NC 2761 1-7447 

(919)733-2678 

FAX (919) 733-3462 



Julian Mann III. Director 

Camille Winston. Deputv' Director 

Molly Masich. Director of APA Services 

Ruby Creech. Publications Coordinator 

Jean Shirley. Editorial Assistant 

Linda Dupree, Editorial Assistant 



437 



III. PROPOSED RULES 
Environment and Natural Resources 

Environment and Natural Resources. Department of 491 - 492 

Parks and Recreation 495 - 496 

Wildlife Resources Commission 492 - 495 

Health and Human Services 

Health: Epidemiology 496 

Mental Health, Developmental Disabilities and 

Substance Abuse Services 487 - 488 

Social Services 438-487 

Insurance 

Manufactured Housing Board 488 - 489 

Life and Health Division 489-491 

Licensing Boards 

Acupuncture Licensing Board 501 - 502 

Electrical Contractors. Board of Examiners 502 - 513 

Real Estate Appraisal Board 513 - 520 

Revenue 
License and Excise Tax Division 496 - 501 

Transportation 
Highways, Division of 501 

IV. TEMPORARY RULES 
Administration 

Nonpublic Education 52 1 - 523 

Community Colleges 

Community Colleges. Board of 524 - 525 

Public Education 

Education, State Board of 523-524 

V. RULES REVIEW COMMISSION 526-528 

VI. CONTESTED CASE DECISIONS 

Index to ALJ Decisions 529-532 

Text of Selected Decisions 
97 CPS 1499 533-534 

VII. CUMULATIVE INDEX 1-61 



Morth Carolina Register is published semi-monthh for $195 per \ ear by the Office of Administrative Hearings. 424 North Blount Street. Raleigh. NC 
27601 . (ISSN 1 5200604) to mail at Periodicals Rates is paid at Raleigh. NC, POSTMASTER: Send Address changes to the Sonh Carolina Register. 
PO Drawer 27447. Ralemh. NC 2761 1-7447 



NORTH CAROLINA ADMINISTR.A TIVE CODE CLASSIFICATION SYSTEM 



The \nrih Carolina Adminisiraiiw Cock iM'AC) has four major subdivisions of rules. Two of these, lilies and chapters, 
are mandatory. The major subdivision of the NCAC is the title. Each major department in the North Carolina executive 
branch of government has been assigned a title number. Titles are further broken down into chapters which shall be 
numerical in order. The other two. subchapters and sections are optional subdivisions to be used by agencies when 
appropriate. 



TITLE/MAJOR DIVISIONS OF THE NORTH CAROLINA ADMINISTRATIVE CODE 



TITLE 



DEPARTMENT 



LICENSING BOARDS 



CHAPTER 



1 


Administration 


Acupuncture 


1 


2 


Agriculture 


.Architecture 


2 


3 


Auditor 


Athletic Trainer Examiners 


3 


4 


Commerce 


Auctioneers 


4 


5 


Correction 


Barber Examiners 


6 


6 


Council of State 


Certified Public Accountant Examiners 


8 


7 


Cultural Resources 


Chiropractic Examiners 


10 


8 


Elections 


Emplovee Assistance Professionals 


11 


9 


Governor 


General Contractors 


12 


10 


Health and Human Services 


Cosmetic Art Examiners 


14 


11 


Insurance 


Dental Examiners 


16 


12 


Justice 


Dietetics/'Nutrition 


17 


13 


Labor 


Electrical Contractors 


18 


14A 


Crime Control & Public Safety' 


Electrolvsis 


19 


15A 


Environment and Natural 


Foresters 


20 




Resources 


Geologists 


21 


16 


Public Education 


Hearing Aid Dealers and Fitters 


22 


17 


Revenue 


Landscape Architects 


26 


18 


Secretap. of State 


Landscape Contractors 


28 


19A 


Transportation 


Marital and Familv Therapv 


31 


20 


Treasurer 


Medical Examiners 


32 


*21 


Occupational Licensing Boards 


Midwiferv Joint Committee 


33 


TT 


Administrative Procedures 


Mortuarv Science 


34 


23 


Communitv Colleges 


Nursing 


36 


24 


Independent Agencies 


Nursing Home Administrators 


37 


25 


State Personnel 


Occupational Therapists 


38 


26 


Administrative Hearings 


Opticians 


40 


27 


NC State Bar 


Optometp. 


42 






Osteopathic Examination & Reg. (Repealed) 


44 






Pastoral Counselors. Fee-Based Practicing 


45 






Pharmacv 


46 






Physical Therapv Examiners 


48 






Plumbing. Heating & Fire Sprinkler Contractors 


50 






Podiatp. Examiners 


52 






Professional Counselors 


53 






Psvchologv Board 


54 






Professional Engineers & Land Surveyors 


56 






Real Estate .Appraisal Board 


57 






Real Estate Commission 


58 






Refrigeration Examiners 


60 






Sanitarian Examiners 


62 






Social Work Certification 


63 






Soil Scientists 


69 






Speech & Language Pathologists & .Audiologists 


64 






Substance .Abuse Professionals 


68 






Therapeutic Recreation Certification 


65 






Veterinarv Medical Board 


66 



Note: Title 21 contains the chapters of the various occupational licensing boards. 



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IN ADDITION 



This Seclloii contains public notices that are required to he published in tlie Register or hare been approved by the Codifier 
of Rules for publication. 



TITLE 10 - DEPARTMENT OF HEALTH AND HUMAN SERVICES 

CHAPTER 26 - MEDICAL ASSISTANCE 

SUBCHAPTER 26M - MANAGED CARE AND PREPAID PLANS 

This agency is extending the comment period to September 14, 1998 on 10 NCAC 26M .0201 - .0204 rules. These rules were 
published in 10 NCR 13:1 pages 5 - 6. 

Written comment concerning these rule-making actions must be submitted by September 14, 1998 to Portia W. Rochelle, 
Rule-making Coordinator. Division of Medical Assistance. 1985 Umstead Drive, Raleigh. NC 27603, Tel: (919) 857-4094. 



13:5 NORTH CAROLINA REGISTER September I, 1998 435 



RULE-MAKING PROCEEDINGS 



A \nncL' (if Riik'-niuking Proceedings is a slalement aj suhject Dialler of the agency's proposed rule making. The agency 
musi publish a notice of the subject matter for public comment at least 60 days prior to publishing the proposed text of a 
rule. Publication of a temporaiy rule serves as a Notice of Rule-making Proceedings and can be found in the Register 
under the section heading of Temporary Rules. A Rule-making .Agenda published by an agency serves as Rule-making 
Proceedings and can be found in the Register under the section heading of Rule-making Agendas. Statutory reference: 
as 150B-2I.:. 



TITLE 10 - DEPARTMENT OF HEALTH AND 
HUMAN SERVICES 

CHAPTER 14 - MENTAL HEALTH: GENERAL 

SUBCHAPTER 14V - RULES FOR MENTAL 

HEALTH, DEVELOPMENTAL DISABILITIES, 

AND SUBSTANCE ABUSE FACILITIES AND 

SERVICES 

TV Totice of Rule-making Proceedings is hereby given by the 

1 V Secretaiy of Health and Human Sen-ices in accordance 
with G.S. 150B-2L2. The agency shall subsequently publish in 
the Register the text of the ridels) it proposes to adopt as a result 
of this notice of rule-making proceedings and any comments 
received on this notice. 

Citation to Existing Rules Affected by this Rule-Making: 10 

NCAC 141' . 7201. Other rules may be proposed in the course 
of the rule-making process. 

Authority for the rule-making: G.S. 122C-!12la)tll) 

Statement of the Subject Matter: In order to meet 
requirements of the Health Care Financing Administration in 
the implementation of the 191 5C Home and Coitimunity-Based 
Service Waiver. North Carolina will require area programs to 
ensure that clients have a choice of provider for CAP MR-DD 
services. 

Reason for Proposed Action: CFR 42 Part 430 Subpart G 
addresses Choice of Provider and in order for North Carolina 
to comply with requirements of the Health Care Financing 
Administration (HCFA). it must ensure that area programs offer 
a choice of provider to clients who receive CAP MR-DD 
ser\-ices. 

Comment Procedures: Comments should be submitted to 
Charlotte F Hall. Division of Mental Health. Developmental 
Disabilities and Substance Abuse Ser^^ices. 325 A'. Salisbuiy 
Street. Albemarle Building. Suite 1156. Raleigh. NC 2"603- 
5906. 



TITLE 15A - DEPARTMENT OF ENVIRONMENT 
AND NATURAL RESOURCES 

CHAPTER 7H - COASTAL MANAGEMENT 



A Totice of Rule-maliing Proceedings is hereby given by the 
1 V DENR-Coastal Resources Commission in accordance with 
G.S. 150B-21.2. The agency shall subsequently publish in the 
Register the text of the ridels j it proposes to adopt as a result of 
this notice of rule-making proceedings and any comments 
received on this notice. 

Citation to Existing Rules Affected by this Rule-Making: 

15A SCAC ^H .0300. .2100. .2400. Other rules may be 
proposed in the course of the rule-making process. 

Authority for the rule-making: G.S. lUA-W: 113A- 
Mr/ai.lhi: 113.4-113lb)l6a).ib)l6b).lbll6d): 1I3A-118.1: 113A- 
124 

Statement of the Subject Matter: 

15.4 .VC.-IC 7H .0300 - The proposed amendment will allow for 

the construction of bulkheads and piers within the Ocean 

Hazard AEC for those shorelines that exhibit Estuarine 

Shoreline characteristics. 

ISA NCAC 7H .2100, .2400 - The proposed amendment will 

allow for the construction of wetland enhancement breakwaters 

for shoreline protection in Estuarine and Public Trust IVaters. 

The proposed adoption will allow for the placement of riprap 

material to protect eroding wetland areas. 

Reason for Proposed Action: 

ISA .\CAC 7H .0300 - Response to variance request decisions 

involving construction of piers in Ocean Hazard AEC's that 

exhibit Estuarine Shoreline characteristics. 

ISA NCAC 7H.2I00. .2400 - Based on staff recommendations 

the Coastal Resources Commission proposes to amend existing 

rules and to develop a ne^v General Permit to allow erosion 

control structures to protect all wetland areas. 

Comment Procedures: Contact Charles Jones. 151-B Highway 
24. MoreheadCitv NC 28570. (252)808-2808. 



TITLE 25 - OFFICE OF STATE PERSONNEL 

CHAPTER! - OFFICE OF STATE PERSONNEL 

A Totice of Rule-making Proceedings is hereby given by the 
1 V Stale Personnel Commission in accordance with G.S. 
150B-21.2. The agency shall subsequently publish in the 
Register the text of the rules it proposes to adopt as a result of 
this notice of rule-making proceedings and any comments 
received on this notice. 



436 



NORTH C.4ROLINA REGISTER 



September 1, 1998 



13:5 



RULE-MAKING PROCEEDINGS 



Citation to Existing Rules Affected by this Rule-Making: 

25 NCAC IB .0354. .043^: I H .0602. .0605. .0606: IJ .0503. 
. 0512. . 0603. Other rules may he proposed in the course of the 
rule-making process. 

Authority for the rule-making: G.S. 126-4 

Statement of the Subject Matter: 

25 NCAC IB .0354 - Time frame for raising allegation of hiring 

based on political affiliation or political influence. 

25 NCAC IB .0437 - Procedures for appealing to the State 

Personnel Commission and Recruitment and Selection Process 

for process due to Senate Bill 886 - Most Qualified Applicants. 

25 NCA C IH . 0602 - Posting and A nnouncements of I acancies. 

25 NCAC IH .0605 - Special Applicant Considerations and 

Agency Responsibilities concerning agency recruitment and 

selection. 

25 NCAC IH .0606 - Selection of Applicants concerning agency 

recruitment and selection. 

25 NCAC IJ . 0503 - Minimum procedural requirements in state 

employee grievance proceedings. 

25 NCAC IJ .0512 - Employee grievances based on political 

affiliation or political influence. 

25 NCAC IJ .0603 - Minimum procedural requirements in state 

employee grievance proceedings. 

Reason for Proposed Action: 

25 NCAC IB .0354 - To adopt a new- rule that establishes the 

procedure for filing a grievance which raises certain allegations 

in an appeal under the State Personnel Act. Changes are 

necessitated by amendments to Chapter 126. the State Personnel 

Act. by Senate Bill 886 passed during the 1997 Session of the 

General Assembly. 

25 NC.4 C IB . 043 7 - To amend the procedure whereby the State 

Personnel Commission hears and considers appeals under 

Chapter 126. Changes are necessitated by amendments to 

Chapter 126. the State Personnel .4ct. by Senate Bill 886 passed 

during the 199^ Session of the General Assembly 

25 NCAC IH .0602 - To amend the existing rules governing 

priority reemployment consideration which is owed to certain 

State employees in State government positions subject to 

applicable provisions of the State Personnel Act. Changes are 

necessitated by amendments to Chapter 126. the State Personnel 

Act. by Senate Bill 886 passed during the 1997 Session of the 

General Assembly 

25 NCAC IH .0605 - To amend existing rules governing the 

selection of applicants in the recruitment and selection process 

for State government positions subject to the applicable 

provisions of the State Personnel Act. Changes are necessitated 

by amendments to Chapter 126, the State Personnel Act. by 

Senate Bill 886 passed during the 1997 Session of the General 

Assembly. 

25 NCAC IH .0606 - To amend existing rules governing the 

selection of applicants in the recruitment and selection process 

for State government positions subject to the applicable 

provisions of the State Personnel Act. Changes are necessitated 

by amendments to Chapter 126. the State Personnel .Act. by 



Senate Bill 886 passed during the 1997 Session of the General 
Assembly 

25 NCAC IJ .0503 - To amend existing rules governing the 
selection of applicants in the recruitment and selection process 
for State government positions subject to the applicable 
provisions of the State Personnel Act. Changes are necessitated 
by amendments to Chapter 126. the State Personnel Act. by 
Senate Bill 886 passed during the 1997 Session of the General 
Assembly. 

25 NCAC 1 J .0512 - To adopt a new rule that establishes the 
procedure for filing a grie\'ance which raises certain allegations 
in an appeal under the State Personnel Act. Changes are 
necessitated by amendments to Chapter 126. the State Personnel 
Act. by Senate Bill 886 passed during the 1997 Session of the 
General Assembly. 

25 NCAC IJ .0603 - To amend existing rules governing the 
procedural requirements for certain appeals to the State 
Personnel Commission under Chapter 126. Changes are 
necessitated by amendments to Chapter 126, the State Personnel 
Act. by Senate Bill 886 passed during the 1997 Session of the 
General Assembly. 

Comment Procedures: Any interested person may submit 
written comments addressed to Delores Stanley. Rule-making 
Coordinator 116 West Jones Street. Raleigh, NC 27603-8004. 
Written comments must be received by 5:00 p.m. on October 29, 
1998. 



13:5 



NORTH CAROLINA REGISTER 



September 1, 1998 



437 



PROPOSED RULES 



This Section cuniains the lex! of proposed rules- At least (Sit Jays prior to the publication of text, the agenc\ published a 
\otice of Rule-making Proceedings. The agency must accept cottiments on the proposed rule for at least 30 dms from the 
publication date, or until the public hearing, or a later date if specified in the notice by the agency. The required comment 
period is 60 days for a rule that has a substantial economic impact of at least fire million dollars (S5.000.000i. Statutoiy 
reference: G..S. 130B-2L: 



TITLE 10 - DEPARTMENT OF HEALTH AND 
HUMAN SERVICES 

Notice is hereby given in accordance with G.S. 150B-21.2 
that the Social Services Commission intends to adopt the 
rules cited as 10 \CAC 41S .0101-.0102. .0201-.0204. .0301- 
.030'. .0401:040-. .0501-.0506. .060I-.0615. .0'01-.0-13: 10 
NCAC 41T. 0101-0106. .0201-.0206 and repeal the rules cited 
as 10 NCAC 41 E. 0401. .0403-.0406. .0501-.0518. .0601-.0606. 
.0701-.0'04: lONCAC 41G .0501-.0502. .0504-.0513. .0601- 
.0606. .O'Ol-.O'OS. .0801-.0809. .0902. .1001-.1002. .1004- 
.1013. .110I-.1106. .1201:1208. .1301:1309. .1402: lOXCAC 
41 R .0101:010'. Notice of Rule-making Proceedings was 
published in the Register on December 1. 199'. 

Proposed Effective Date: April 1. 1999 

A Public Hearing will be conducted at 10:00 a.m. on 
September 9. 1998 at the Albemarle Building. Room 943-2. 325 
N. Salisbury Street. Raleigh. SC 2 '603. 

Reason for Proposed Action: In 1992. the North Carolina 
.Association of Residential Child Care and Family Services 
requested and received approval and support from the Division 
of Social Services to establish a state^vide committee made up of 
NC.4RCCFS members and Division of Social Services staff to 
develop licensure rules for residential child care facilities 1 10 
NCAC 4 IS) and to develop licensure rules for mo specialized 
residential child care program areas 1 10 NCAC 41Tl. The 
adoption of new rules was requested in order to update existing 
licensure rules, to streamline tlie licensure process and to assure 
compliance with the most current child welfare practice 
standards in these areas. In order to implement the proposed 
new rules, the existing rules in 10 NCAC 41 E (Group Homes- 
adopted in 1982). 10 NCAC 41G (Child-Care institution- 
adopted in 19") and 10 NCAC 41R (Foster Care Camps- 
adopted in 1 986) will need to be repealed. The proposed rules 
were developed by a committee process over a three year period 
and resulted from an analysis of the existing rules and a 
comparison with licensure rules from 10 other states. CWL.A 
Standards and CO.A Standards by the committee. During 199'. 
the committee and Children's Sen-ices staff revie^ved the rules 
and made final revisions to ensure compliance with the latest 
child welfare practice standards. In October 199', the 
NCARCCFS officially approved these rules at the annual 
Executive Directors ' meeting. 

Comment Procedures: Anyone wishing to comment on these 
proposed rules should contact Sharnese Ransome. APA 
Coordinator Social Senices Commission. .\C Division of 
Social Ser\-ices. 325 A'. Salisbury Sfeet. Raleigh. NC 2-603. 



phone (919) '33-3055. 

Fiscal Note: These Rules do not affect the expenditures or 
re\-emtes of state or local government funds. These Rules do not 
have a substantial economic impact of at least five million 
dollars (55.000.000) in a 12-month period. 

CHAPTER 41 -CHILDREN'S SERVICES 

SUBCHAPTER 41 E - LICENSING OF GROUP 
HOMES FOR CHILDREN 

SECTION .0400 - ADMINISTRATION 

.0401 CONSULTATIVE SERVICES 

Consultative senic e s ar e pro\id e d b\ th e Departm e nt of 
Human R e sourc e s as follow s : 

f+-> Exploration and anaKsis of th e n ee d for th e s e rvic e . 

{ij Evaluation of th e organization's pot e ntial for m ee ting 

th e id e ntified need. 

Int e rpr e tation of minimum lic e nsing s tandards. 






stance in meotin" minimum lic e n s ing standards 



f?-) Consultation to assist th e lic e ns ee to mov e b e vond 

minimum standards: to chang e or improv e th e m e thod 
of op e ration or the qualirv of car e b e ing provid e d. 

Authority G.S. 131D. Art. LA: 143B-153. 

.0403 DEFINITIONS 

Th e following d e finitions shall appK throughout Chapt e r 4 1 
e xc e pt that Subparagraph (7) of this Rul e shall not applv to 111: 

{44 Group Hom e . — .\ r e sidential facilit> op e rat e d e ith e r 
und e r public or priv at e auspic e s which r e c e iv e s for 2 4 
hour car e no mor e than nin e childr e n. This numb e r 
includ e s th e care giv e rs' own r e lativ es und e r th e ages 
of 1 8 . Th e compo s ition of th e group shall includ e no 
mor e than two childr e n und e r th e ag e of 2. four 
childr e n und e r th e ag e of 6. and six childr e n und e r th e 
ag e of 12. A group hom e shall not provid e dav car e . 
nor shall it be availabl e to adults in th e communit> 
who vv ish to r e nt rooms. 

(^ Privat e Group Hom e . — A group hom e und e r th e 
control, manag e m e nt, and sup e rvi s ion of a private 
non profit organization, which op e rat e s ind e p e nd e ritlv 
of a fost e r care s e rvic e s ag e ncv. a child caring 
in s titution, or a licens e d child placing ag e ncv. 

(54 Public Group Home. A group hom e und e r th e control, 
manag e m e nt, and sup e nision of a counrv gov e rnm e nt. 

(44 Privat e .Ag e ncv Group Hom e . A group hom e und e r 
th e control, manag e m e nt, and sup e rvision of a fost e r 
car e s e rvic e s ag e ncv. a child caring in s titution, or a 



43H 



NORTH CAROLIXA REGISTER 



September I. 1998 



13:5 



PROPOSED RULES 



lic e n se d child placing ag e ncy. 

iS^ Public Ag e ncy Group Hom e . A group hom e und e r th e 
control, manag e m e nt, and sup e rvision of a county 
d e partment of social s e rvic es . 

{€) Licens e . P e rmi s sion grant e d to a corporation, ag e ncy 
or county gov e rnm e nt by th e D e partment of Human 
R es ources to engag e in th e provi s ion of full tim e child 
care bas e d upon an initial d e t e rmination, and annually 
ther e aft e r, that such corporation, ag e ncy, or a county 
gov e rnm e nt has m e t and compli e d with minimum 
s tandards set forth in this Subchapt e r. 

f?) Emerg e ncy Sh e lt e r Hom e . — A group hom e which 
provid e s r e sid e ntial care for a p e riod not to e xc ee d 90 
days. 

Authority G.S. 131D-10.5: 143B-153. 

.0404 LICENSING PROCESS 

(a^ Application. — Th e application phase of the lic e nsing 
process brings th e p e rsons wanting to giv e r e sid e ntial child car e 
under the jurisdiction of th e lic e nsing statut e and provid e s an 
opportunity for th e applicant to e xplore and und e rstand 
r e quir e m e nts. 

(¥) Study. Th e s tudy phase focus e s on obtaining knowl e dg e 
of th e propos e d program and project e d m e thods of op e ration. 
For privat e group hom e s the Departm e nt of Human R e sourc e s 
staff, tog e th e r with thos e see king to b e lic e nsed, ar e r e sponsibl e 
for compl e ting the study phase. For ag e ncy group hom e s, th e 
s up e rvising ag e ncy will b e responsible for compl e ting th e study. 

fe) Approval or R e j e ction. Th e d e cision to giv e or withhold 
official sanction by issuing or r e fu s ing to issu e a lic e ns e to 
op e rat e a r es id e ntial child car e program i s bas e d on information 
obtain e d during th e s tudy phase and i s reached through 
administrativ e proc e ss e s within th e D e partment of Human 
R e sourc e s. 



p e riod aft e r th e l ic e ns e e xpiration dat e . 

{2) If th e lic e ns e is not r e newed by th e e nd of th e QO day 

grac e p e riod, th e lic e ns e is t e rminated. 

(d) Chang e in any function information on th e lic e ns e . 

fH A lic e ns e may be changed during th e p e riod of tim e 

it is in e ff e ct if th e chang e is in complianc e with 
minimum lic e nsing s tandards. 

(3) A licens e may not bo chang e d during th e 90 day 

grac e p e riod. 

{¥) Th e group hom e or th e ag e ncy of an ag e ncy group 

hom e must notify' th e Childr e n's S e rvic e s Branch in 
writing of it s r e qu e st for a chang e in lic e ns e , 
including such information a s i s n e c e s s ary to a s sur e 
that the change is in compliance with minimum 
lic e nsing standards. 

( e ) T e rmination. 

f+4 wh e n a group hom e voluntarily discontinu e s child 

caring op e rations, th e Childr e n's S e rvic e s Branch 
must b e notifi e d in writing of th e dat e and r e ason for 
closing; 

(3^ if all lic e nsing mat e rials hav e not b ee n r e c e iv e d by 

th e e nd of th e 90 day grac e p e riod, th e group hom e ' s 
lic e ns e will b e t e rminat e d r 
R e vocation. 



{fy 



m R e vocation of a lic e ns e may occur wh e n th e group 

hom e is not in complianc e with minimum lic e n s ing 
standards and it is d e t e rmin e d that complianc e 
cannot b e accomplish e d within es tablish e d tim e 
limits. 

{¥) Th e d e cision to r e vok e a lic e n se i s r e ach e d through 

administrativ e proc e ss e s within th e D e partm e nt of 
Human R e sourc e s. 

(^-) Th e group hom e or ag e ncy of an ag e ncy group hom e 

will b e notifi e d in writing of th e d e cision to r e vok e 
a license. 



Aiithorm- G.S. ! SID. Art. lA: 143B-I53. 



.4iithorit\-G.S. I3ID-10.5: 143B-153. 



.0405 KINDS OF LICENSES 

fa) Full Lic e n se . A full lic e ns e is issu e d for on e y e ar wh e n all 
minimum lic e nsing r e quir e m e nts ar e m e t. 

fb) Provisional Lic e n se . 

f+) A provi s ional lic e ns e is i ss u e d for a maximum of s ix 
month s e nabling a facility' to op e rat e whil e som e 
b e low standard compon e nt of th e program i s b e ing 
corr e ct e d. 

(3) A provi s ional lic e n se for th e sam e b e low standard 
program compon e nt cannot b e r e n e w e d. 



Authority G.S. 131 D. Art. lA: 1433-153. 

.0406 LICENSING ACTIONS 

fa) — N e w Lic e ns e . — A new lic e nse is 



s u e d wh e n th e 



D e partm e nt of Human R e sources determines that th e group 
home is in complianc e with minimum lic e n s ing s tandards. 

(b) R e n e wal. Lic e ns e s must b e r e n e w e d annually. 

(c) Ninety Day Grac e P e riod. 

f+) A license i s automatically provid e d a 90 day grace 



SECTION .0500 - MINIMUM STANDARDS 
FOR PRIVATE AND PUBLIC GROUP HOMES 

.0501 INCORPORATION 

Thos e s ee king to es tablish and carry out child caring activiti e s 
shall b e incorporat e d und e r Chapt e r 55 or Chapter 55 A of th e 
G e n e ral Statut e s of North Carolina and shall meet all of th e 
provision s th e r e in e xc e pt that county gov e rnm e nts shall not b e 
subj e ct to th e s e statut e s. 

fH Th e chart e r of incorporation shall d e fine th e purpos e 

and function of th e corporation, including: 

fa) th e g e ographic ar e a to b e s e rv e d; 

ffe) th e kind( s ) of childr e n to b e s e rv e d; 



f€^ 



th e rang e of se rvic es which will b e provid e d. 

f3) Th e corporation s hall p e riodically r e evaluat e its 

functions and purpos e . — Chang e s in functions and 
purpose shall b e provided for in am e ndm e nts to th e 
chart e r. 



.4uthorit^• G.S 131D. Art. lA: 143B-I53. 



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.0502 GOVERNING BODY 

Th e group hom e shal l hav e a gov e rning body (h e r e aft e r 
r e f e rr e d to a s board) r es pon s ibl e for i ts prop e r function in 
accordanc e with its chart e r and th e purpose s s e t forth therein. e xp e nditures, and planning for s e curing ad e quat e funds. 

(-H Th e bylaws of th e board shall include th e following ff^ — Aft e r a p e nnit to d e v e lop has b e en rec e iv e d and if the 



( e ) A financial committ ee of th e board shall b e r e sponsible for 
th e sup e rvision of th e inv e stm e nt s of th e group hom e , working 
with th e executiv e in pr e paring th e budget, approving unusual 






provi s ion s : 
— Th e board shall b e compos e d of repres e ntativ es of 



various int e r es ts and occupations; 
— Th e board shall hav e a plan for th e rotation of 

memb e rs; 
— Th e board shall m ee t with a quorum pr ese nt at l e a s t 
quart e rly. A majority of th e board shall con s titut e a 
quorum. 
Pow e rs and duties of th e board shall include the 
following: 

{a^ to d e t e rmin e th e purposes and functions of th e group 

hom e ; 

to e mploy an e x e cutiv e dir e ctor; 



(3^ 






-te — d e fin e . 



writing. — the — functions — aftd 



r e spon s ibiliti es of th e e x e cutiv e dir e ctor, and th e 



basis upon which th e Dir e ctor may b e dismi s s e d; 



{4t) to d e velop with th e e x e cutiv e dir e ctor th e polici es of 

the group home; 
fe^ to annually e valuat e th e program and polici e s of th e 

group hom e to d e t e rmin e e ff e ctiv e n es s and any 

need e d changes; 






luat e th e — performanc e of th e 



-te — annua l ly — e va l u 
e x e cutiv e dir e ctor; 

to assur e ad e quat e financial support for th e program 
of child car e ; 
to approv e an annua l budg e t for th e program of child 

Cure, 

to k e ep official minut e s of all board me e ting s a s a 



part of th e organization' s p e rman e nt r e cords; 

to b e guid e d bv th e community n ee ds in th e 



program's ov e rall dir e ction, services, polici e s and 
adm i nistration. 



Aiithorin-a.S. I31D-10.5: N3B-153. 

.0503 FINANCES 

fa) — Th e group hom e shall hav e a sound plan of financing 
which assur e s s ufficient funds to e nable it to carry out its 
d e fin e d purpos e s and provid e prop e r care for childr e n. 

(b) Th e n e w group hom e s hall hav e s uffici e nt funds assur e d 
to carry it through its first y e ar of op e ration and assuranc e of 
ad e quate continuing support. 

(c) Th e group hom e which receiv e s government funds shall 
hav e an ind e p e nd e nt audit of th e Financial r e cord s of th e 
corporation mad e at l e a s t annually and th e r e port s hal l b e mad e 
a part of th e hom e 's r e cords. A copy of thi s audit s hal l b e s e nt 
to th e Divi s ion of Social Servic es . If this function is carried out 
by the county' s financial representative, an audit will not bo 
r e quired on an annual basis. 

fd) — An e st i mat e d budg e t shall b e pr e par e d and approv e d 
jointly by th e board of dir e ctor s and th e e x e cutiv e at th e 
b e ginning of e ach fi s cal y e ar s howing incom e and e xp e nditur e s, 
including s uch d e tails as ar e r e quir e d on th e annua l r e port. 



organization plans to solicit funds for th e propos e d group home, 
th e North Carolina law r e garding solicitation of funds as found 
in G.S. 13 IC shall b e m e t. 

Authorin-G.S. 131D-I0.5: 143B-153. 



.0504 STAFF 

(a) Ex e cutive Dir e ctor 

(4-) Qualification s 

(A) — Th e e x e cutiv e dir e ctor shall hav e ability a s an 
admini s trator and th e training and e xp e ri e nc e that 
qualifi e s him for his job responsibilities; 
(©) — Th e ex e cutive director s hall b e at l e ast 2 1 y e ars of 



a>- 



Function s 



-The — e x e cutiv e — director — shaH — be 



r e sponsibl e — for th e — g e n e ral — manag e m e nt — and 
administration of the ag e ncy in accordanc e with 
lic e nsing r e quir e m e nts and polici e s of th e gov e rning 
body. Th e functions of th e Dir e ctor or his d e sign ee 
s hall includ e but not b e limit e d to the following: 
{A) — Int e rpr e tation — ef — lic e n s ing — standards — and 

e stabli s h e d child car e s tandard s to th e Board; 
(B) — Initiating and carrying out a sound program of 
r e sid e ntia l — child — eare — w\ — accordanc e — with 



and a s approv e d by th e 



established standards 

Board of Dir e ctor s ; 
(€^ — Pr e paring th e group hom e budg e t with th e 

assi s tanc e — ef — thos e — ef — his — staff — whos e 

r e spon s ibiliti e s or abiliti e s qualify' th e m to h e lp; 
(©) — Pr e s e nting th e budg e t to th e Board or gov e rning 

authority for approval; 
(&) — Employing and discharging all m e mb e rs of his 

staff; ' 
{¥^ — Holding staff meetings at r e gular int e rvals and 

discussing plan s and polici e s with his staff; 
{G) — Organizing and promoting a program of e ducation 

for th e continu e d training and d e v e lopm e nt of th e 

staffs 
(H) — Supervision of the group hom e staff; 
ff) Conducting with e ach s taff m e mb e r an annual 

e valuation r e garding his job p e rformanc e . — A 

writt e n copy of e ach e valuation shall b e k e pt on 

{i^ Establishing — and — maintaining — good — working 

r e lation s hip s with oth e r social s e rvices ag e nci e s in 
th e community, and assuming responsibility for th e 
int e rpr e tation of th e hom e ' s program; 

(ft) — Administration, admission s and discharg e s of 

children and th e child car e program with such 

d e l e gation of actual work in th ese ar e as as is 

appropriat e . 

(b) Prof e ssional S e rvic e s Staff. 

(-H Eaeh — group hom e s hall — hav e available thos e 



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professional se rvices which a ss ur e qualiw car e for 
childr e n and provid e planning s e rvic e s with th e ir 
families, including the following: 
— doctors. 



d e ntists. 



nurse s . 

social work e rs. 

psychologi s t s . 

p s ychiatri s t s . 



nutritionists, 
r e cr e ation work e rs, 
t e ach e rs. 



provid es child car e s taff tim e off duty e ach month, including on e 
48 hour p e riod, d e p e nding on th e s taffing patt e rn utiliz e d and the 
typ e of car e provid e d. 

ffe) Jeb — D es criptions. Duti es . — r e sponsibilities. — and 

qualification s for e ach s taff position s hall b e d e fined in writing. 

AuthohnG.S. 131D-I0.5: N3B-153. 



.0506 SOCIAL SERVICES: ADMISSIONS: POLICIES: 
PROCEDURES 

(a) Admission policies s hall b e cl e arly d e fined in writing and 
shall b e r e vi e w e d annually and chang e d as needs and conditions 
in th e community chang e. 

(b) Admission proc e dur e s shall b e in k ee ping with th e stat e d 
polici es of th e group hom e , and admi ss ions shall b e limit e d to 



{¥) S e rvic e s may bo purchas e d on an individual basis or 

provid e d by m e mbers of th e hom e s taff, or obtain e d 

through public or private program s . 
(5) Professional work e rs s hall hav e thos e sp e cial thos e childr e n for whom th e hom e is qualifi e d by staff, program. 



faciliti e s, and s e rvic es to giv e ad e quat e car e , 
(c) In group hom e s oth e r than sh e lt e r hom e s, th e following 
(e) — Child Car e Staff. Couns e lors. T e aching Par e nts or information and mat e rials shall b e obtain e d prior to admi s sion: 



qualifications that enabl e th e m to work with 
childr e n. 



Housepar e nts. 

f+^ Qualification s 

{A) — shall b e at least 1 8 y e ars old; 
(B) — shall b e mentally and physically fit as e vid e nc e d 
by th e following: 

{i) a — physical — examination — compl e t e d — by — a 

physician. — physician's assistant. — or nurs e 
practition e r, h e r e aft e r r e f e rr e d to a s "lic e n se d 
medical provid e r", prior to assuming th e 
position and ev e ry oth e r y e ar th e r e aft e r. Th e 
cost s of physical e xaminations which ar e 
required for continuing e mploym e nt ar e to b e 
paid by the group hom e : 
a h e alth questionnaire compl e t e d by th e 
individual staff on e ach y e ar wh e n a physical 
e xamination is not r e quir e d: 
a TB s kin t es t prior to assuming th e position, 
and annualK th e r e aft e r, e xc e pt wh e n th e 
lic e n se d m e dical provid e r advi ses against it: 
hall hav e e ducation, training and e xp e ri e nc e 
s uffici e nt to e quip th e m for th e duti e s as s ign e d: 
(&) — s hall not b e p e rson s who hav e b ee n found to hav e 
n e gl e ct e d or abu se d a child by any ag e ncy duly 
authoriz e d by law to inv e stigat e all e gations of 
abus e or n e gl e ct. 

Duti es 

(A) — shall hav e r es pon s ibilitv' for th e day to day 

activiti e s of th e hom e and car e of th e childr e n. 
(&) — shall — a s sum e thos e duti es — assign e d th e m — m 
accordanc e with any s p e cializ e d program of th e 
hom e . 



(4) V e rification that th e p e rson making application for 

plac e m e nt ha s th e authority to do so; 

{2) A compl e t e d application for s e rvic e s s igned by th e 

par e nts, l e gal custodian or ag e ncy with the authority 
to plac e th e child; 

^ A social summary which includ e s background 

information on th e child, his family, his presenting 
probl e m s and current circumstances which will 
e nabl e th e group homo staff to d e t e rmine if th e 
child's need s arc consist e nt with th e homo's program 



of car e ; 



{^ 



(iiif- 



(ef- 



(3> 



(4) A writt e n plac e m e nt agr ee m e nt sign e d by authoriz e d 

p e r s ons which includ es th e se rvic e s to b e provided 
by th e group hom e , and th e r es ponsibilities of th e 
par e nts and l e gal cu s todian, indicating who will b e 
r e sponsibl e for th e child's financial and m e dical 
n ee ds, f ee s to b e paid, cons e nt for e m e rg e ncy 
m e dical — tr e atm e nt. — l e ngth — ef — stay; — visitation 
expectations and limitations b e tw ee n th e child and 
his family, and th e sch e dul e of r e vi e w conf e r e nc e s; 

{^ Docum e ntation — of a — physical — e xamination — as 

s p e cifi e d in Rule .051 '1(a)(1) of this Subchapt e r. 
{4) — In a group hom e that has a writt e n agr ee m e nt with a 
d e partm e nt of social se rvices to provide r e sidential child car e 
e xclu s iv e ly for childr e n for whom that d e partm e nt of social 
se rvic es has plac e m e nt authority, th e group hom e or d e partm e nt 
of s ocial s e rvic es mu s t comply with all provisions of Paragraph 
(c) of thi s Rul e . Sp e cific r e spon s ibilities for social s e rvic e s in 
Paragraph (c) of thi s Rule s hall b e d e fin e d in th e writt e n 
agr ee m e nt, 
( e ) In sh e lt e r hom e s th e following information and mat e rial s 



(d) Cl e rical Staff Each hom e shall hav e ad e quat e cl e rical shall b e obtain e d; 



s e rvic e s to k ee p correspondenc e , r e cords, booldv ee ping and fil e s 
curr e nt and in good ord e r. 

Authority G.S. 131D-10.5: 143B-153. 

.0505 PERSONNEL POLICIES 

(a) Leave. TTio group hom e shall hav e a writt e n policy which 



(4^ D e t e rmination of custody within 72 hours of 

admission with the l e gal custodian participating in 

th e admission proc e dur e ; 
(3) A writt e n consent for plac e m e nt sign e d b\ th e l e gal 

custodian within 72 hours after admission; 
{^ A social summaPi which — includes background 

information on th e child, hi s family, his pr e s e nting 



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probl e ni L v and curr e nt circumstanc e s within two 
w ee ks ot" admission: 

(-4-) Docum e ntation of a piiy si cal as s p e cifi e d in Rul e 

.05l 4 (a)( I ) of tiiis Subchapt e r w i thin two w ee ivs of 
admission. 
fft — In a shelt e r hom e that has a writt e n agr ee m e nt with a 
department of social s e rvic e s to provid e r e sid e ntial child car e 



(3-) In all oth e r group homos, an e valuation shall b e 

mad e at l e ast s e mi annualK. 

Authority G.S. 131D-W.5: I43B-I53. 

.0509 SOCIAL SERVICES: VISITING POLICIES 

(a) Visit s of r e lativ e s with childr e n and of childr e n with their 
exclusively for childr e n for whom th e d e partm e nt of social famili es shall b e plann e d on an individual basis, 
s e rvic es ha s plac e ment authority, th e s h e lt e r hom e or d e partm e nt (b) Wh e th e r th e s e visits will take plac e in th e group home or 

of s ocial s e r\'ic e s mu s t comply with all provision s of Paragraph e ls e wh e r e s hall b e th e d e cision of the group hom e. 



( e ) of this Rul e . Sp e cific r e sponsibiliti e s for s ocial s e rvic e s in 



(c) Visitation polici e s shall b e d e v e lop e d through consultation 



Paragraph ( e ) of this Rul e shall b e d e fin e d in th e writt e n v . ith. and th e approval of th e l e gal custodian of th e child. 



agr ee m e nt. 



(d) if th e group hom e u ses privat e famili e s in the community 



vi s it s : 



(g) In group hom es oth e r than sh e lt e r hom es , a writt e n plan of as vi s iting hom e s for childr e n for w e ek e nds, holiday s , or 
car e for e ach child s hall b e d e v e lop e d at th e tim e of admission. vacation, th e following shall b e r e quir e d prior to arranging such 
and r e view e d at l e ast s e miannually by th e group hom e staff, 
parents, and legal custodian and th e child, wh e n appropriat e . In 
s h e lt e r hom es th e writt e n plan of car e shall b e dev e lop e d within 
72 hour s of admi ss ion and r e vi e w e d e v e ry other week h\ the 
group hom e staff, par e nt s and l e gal cu s todian, and th e child, 
wh e n appropriat e . Thi s plan of car e shall includ e : 



f4-) Th e e xp e ctations and goals to b e r e ach e d by th e 

child whil e in car e : 
(34 Th e ta s k s and activiti es of th e group hom e s taff to 

m ee t th e n ee d s of th e child whil e in car e : 
{5^ Th e ta s ks and activiti e s of th e par e nts and legal 

custodian to meet the needs of th e child whil e in 



Authority- G.S. I3ID-I0.5: N3B-153. 

.0507 SOCIAL SERVICES: DISCHARGE POLICIES 

(a) A written di s charg e plan s hall b e part of th e plan of car e 
for e ach child. Th e child shall participat e in th e formulation of 
th e plan, if possibl e . 

(b) A sch e dul e of revi e ws of th e progr e s s mad e towards th e 
di s charg e plan s hall b e s e t up to includ e th e group hom e staff. 
th e r e spon s ibl e ag e ncy r e pr e s e ntativ e , th e child and par e nts 
and/or r e latives, wh e n appropriat e . 



Writt e n cons e nt shall b e obtain e d from th e l e gally 

responsibl e ag e ncy or p e r s on of th e child prior to 

such a visit. 

Th e int e r es t s , n ee ds, and w e lfar e of the child s hall 

b e ass e ss e d, and th e child shall be agr ee abl e to th e 

arrang e m e nt. 

A pr e liminary visit b e tv see n th e child and family h e 

plan s to vi s it, s hall tak e plac e prior to an ov e rnight 

visit. 

Th e host family shall be ass es s e d prior to s uch a 






-* 



e r e vi e w 



{^i) — If the child i s unabl e to participat e 
conf e r e nc e , h e s hall b e k e pt inform e d of th e progr es s mad e 
toward th e discharg e plan, and b e given suffici e nt tim e to 
pr e par e for his d e partur e from the home. 

Authority G.S. 131D-10.5: 143B-153. 

.0508 SOCIAL SERVICES: SERVICES TO 
CHILD AND FAMILY 

(a) The group hom e shall provid e tho se se rvic es to a child and se rvic es or privat e family and children's s e rvic e s ag e nc>. 
his family which it has s tat e d it will provid e . 
fb^ — Th e group hom e shall mak e r e ferrals to. and work .Authority G.S. 13ID-10.5: 1438-153. 



visit, to d e t e rmin e that th e y can provid e prop e r car e 
and sup e rvi s ion for th e child, and if th e y shar e 
common int e r e sts with the child. The assessment 
shall includ e : 
fA^ — A visit to th e ho s t famiK' s hom e : 
fB-) — A compl e ted application on th e host family: 
{Q^ — A bri e f socia l history on th e host family: 
(B) — A sign e d agr ee m e nt by th e host family and th e 
group — hom e — ef — ag e ncy. — which — stat e s — the 
r e sponsibilities of e ach, and that th e host family 
fulK und e r s tands th e s e r e sponsibiliti e s: 
(E) — R e spons e s from thr ee r e f e r e nc e s that th e ho s t 
famiK can provid e th e prop e r car e and sup e rv ision 
needed bv th e child. 



.Authority G.S. 131D-10.5: 143B-153. 

.0510 SOCIAL SERVICES: FOLLOW UP SERVICES 

(a) S e rvic e s to support and maintain th e child in his r e turn to 
the community shall be off e r e d. 

(b) If th e discharging group hom e is not staff e d to r e nd e r this 
se rvic e , a r e f e rral shall b e mad e to a county d e partm e nt of s ocial 



coop e rativ e K with oth e r agenci e s and community ' r es ourc e s. 

fe-) — Th e group home s hal l e valuat e e ach child' s plac e m e nt 
n ee d s on a regular ba s i s , and shall includ e th e par e nts and 
r e lativ e s, as well a s th e ag e ncy with l e gal r es pon s ibility for th e 
child in th e rev iew. 

f-H In sh e lt e r hom e s, an e valuation shall b e made 

biw ee kK. 



.0511 SOCIAL SERVICES: 

(a) Chi l d' s Cas e R e cord. 



RECORDS AND REPORTS 



(-H In group hom e s other than sh e lt e r hom e s a complet e 

and confid e ntial case record shall b e maintained 
which shall contain th e follovsing: 
y^ — Docum e ntation of placem e nt authority: 



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Social summan : 

Compl e ted application for services: 
Written plac e m e nt agreement: 
Writt e n plan of car e including th e 



s e miannual 






.0512 CHILD CARE AND DEVELOPMENT: 
PROGRAM 

fa) — Th e child care program shall b e d e sign e d to provid e 
opportuniti e s for positiv e l e arning e xp e ri e nc e s for th e child and 
s hall b e g e ar e d to th e n ee ds of th e children s e rv e d. 
(fe) — If th e hom e us es a syst e matic approach for altering 
Pr e admission — physical — e xamination. — and — any maladaptiv e — b e havior. — both — r e sid e nt s — and — staff shall — be 
subs e qu e nt — m e dical — information — s«€h — as thoroughly instruct e d in this syst e m. 



r e vi e ws: 

Docum e ntation that v e rifi e s th e child's birth: 



hospitalizations. — significant — illnesses. — d e ntal {e) — Staff administ e ring th e program shall have had prior 






e xaminations, e tc.: 

Immunization record (this r e cord must b e obtain e d 

within 30 da>'S of a child's admi s sion to th e hom e ): 

-A — discharge — summary — with — the — date — and 



e xp e ri e nc e or training in th e principl e s of this syst e m. 

(d) — Th e r e s hall b e an annual e valuation by th e board of 
dir e ctors to measure th e e ff e ctivenes s of th e program and to 
off e r direction for n ee d e d changes. 



circumstanc e s of discharg e . 



(3) In a group hom e that has a writt e n agreement with a AnthoriH' G.S. ISlD.Ari. !A: 143B-153. 



d e partm e nt of social s e rvices to provide r e sid e ntial 
child care e xclusively for childr e n for whom th e 
d e partm e nt — of social — s e rvic e s — has — placem e nt 



.0513 EDUCATION 

Childr e n shall att e nd th e public school to which th e y ar e 



authority, specific r e sponsibiliti e s for childr e n's assign e d unl e ss an alt e rnativ e e ducation plan is agr ee d upon by 



(^ 



r e cords in Subparagraph (a)( 1 ) of thi s Rul e mu s t b e 
identified in the writt e n agr ee m e nt. 
In shelt e r hom e s, a confid e ntial cas e r e cord shall b e 
maintain e d which shall contain th e following: 
(A) — A writt e n plan of car e d e v e lop e d within 72 hour s 

of admission: 
fB) — Plac e m e nt cons e nt, sign e d by th e p e r s on or ag e ncy 

with plac e m e nt authority within 72 hours of a 

child's admission: 

R e port of th e m e dical e xamination if a child 






w- 



r e mains in car e long e r than two w ee ks: 
Social summary, with information indicating that 
th e group hom e 's program of car e is appropriat e if 
th e child r e mains in car e long e r than two w ee ks. 
In a sh e lt e r hom e that has a writt e n agr ee m e nt with 



a d e partm e nt of social s e rvic e s to provid e resid e ntial 
child car e e xclusiv e ly for childr e n for whom th e 
d e partm e nt — of social — s e rvic e s — has — plac e m e nt 
authority sp e cific r e sponsibiliti e s for children's 
records in Subparagraph (a)(3) of this Rule must be 
id e ntifi e d in th e writt e n agre e ment, 
(b) Sh e lt e r Log. In shelter hom e s, a log shall b e maintain e d 
that list s at a minimum th e following: 

{V) child's nam e . ag e . s e x. and race: 

(3) l e gally r e sponsibl e parent, r e lativ e , or ag e ncy 

r e pr e s e ntativ e 's nam e and t e l e phon e numb e r: 
dat e of admission: 



(4) dat e of discharg e . 

{e) — Staff M e dical R e ports. — A medical r e port shall b e 
completed prior to e mployin e nt and every other y e ar th e r e aft e r 
and maintain e d on e ach fijll and part time child caring s taff, any 
r e lativ e s r e siding in th e hom e , and an\ p e rson responsibl e for 
pr e paring or serving food in th e hom e . 

(d) Annual Report. Each group home shall submit an annual 
stati s tical r e port as r e quir e d by th e D e partm e nt to th e lic e nsing 
authority within 60 days aft e r th e e nd of th e program's fiscal 



Authority G.S. I3ID-I0.5: I-I3B-153. 



th e child, th e hom e , and th e r es ponsibl e p e r s on or ag e ncy 
making plac e m e nt. 

Authority G.S. 131D. Art. lA; 143B-153. 

.0514 CHILD CARE AND DEVELOPMENT: 
HEALTH 

(a) M e dical Program. Ev e r>' group hom e s hall hav e a plann e d 
program of m e dical car e . 

(44 M e dical R e quir e m e nt s for Admis s ion. 

(A) — No child s hall b e accepted into a group hom e 
without having had a physical e xamination within 
90 day s prior to admi s sion, which shall includ e a 
s ign e d stat e m e nt by a lic e ns e d m e dical provid e r 
sp e cifying th e child's curr e nt m e dical condition 
and m e dication s pr e scrib e d and indicating th e 
pr e s e nc e of any communicab l e dis e as e or m e dical 
condition which may po se a significant risk of 
transmission in th e facility. — If a child is in th e 
custody of a d e partm e nt of social s e rvic e s, is 
already sch e dul e d to hav e and is having a physical 
completed annually, and is e nt e ring a private group 
hom e , th e schedule of annual physicals shall not 
be changed. Howev e r a copy of th e most r e c e nt 
physical — shaH — be — sent — by — the — r e sponsibl e 
d e partm e nt of social s e rvice s to th e private group 
hom e for th e child's r e cord th e re e xc e pt that in 
s h e lt e r hom e s, th e phy s ical e xamination and 
s tat e m e nt s hall b o obtain e d within two w e eks of a 
child's admis s ion. 

(B) — A child admitt e d to a group hom e shall b e 
immuniz e d against diphth e ria, t e tanus, whooping 
cough. — poliomy e litis. — Fed — m e asl e s — (rub e ola), 
rubella, mumps, and any other dis e as e a s r e quir e d 
by 15A NCAC I9A .0400. which i s incorporat e d 
b\ referenc e including subs e qu e nt am e ndm e nt s 
and editions, prior to admission, or as soon aft e r as 
practical. Docum e ntation of these immunizations 
shall b e obtain e d within 30 dav s of a child's 



13:5 



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September 7, 1998 



443 



PROPOSED RULES 



admisiiion. A copv of 15A NCAC lOA .O ' lOO may 
be obtain e d from th e Offic e of Administrativ e 
H e arings. P.O. Draw e r 27'1 ' 17. Raleigh. North 
Carolina. (QIQ) 733 267 8 . at a cost of two dollars 
and fifty c e nto (S2.50) at th e tim e of adoption of 
this Rul e . A copy is availabl e for insp e ction in th e 
Children' s S e rvic e s S e ction. N.C. Divi s ion of 
Social S e rvic es . Alb e marl e Building. 325 North 
Salisbury Stre e t. Ral e igh. North Carolina 27603. 

(3^ M e dical Car e . Arrang e m e nts shall b e mad e with at 

l e a s t on e lic e n se d physician and on e d e ntist for th e 
car e of childr e n in the hom e . 

(5^ Hospital Car e . Arrang e m e nts s hall b e mad e with a 

hospital for th e admi s sion of childr e n from th e group 



hom e in th e e v e nt of s e rious 



I l ln e s s or m an 



t4f 



e m e rg e ncy. 
First Aid. 






(^ 



Hous e par e nts shall r e c e iv e training and b e abl e to 
administ e r first aid. 

First aid kits shall b e availabl e for instant u se - 
Hom e M e dical Care Practic e s. 



(tM — Group hom es s hall not e ngag e in any m e dical car e 
practic e s that conflict with th e control m e asur es 
for communicable dis e as e s in 15A NCAC I9A 
.0200. — which — '\s — incorporated — by — r e f e r e nc e 
including s ub se qu e nt am e ndm e nts and e ditions. A 
copy of 15A NCAC lOA .0200 ma\ b e obtain e d 
from the Offic e of Administrativ e H e arings. P.O. 
Draw e r 274 4 7. Ral e igh. North Carolina 27611. 
(019) 733 2678. at a co s t of t\vo dollars and fift> 
c e nts (S2.,^0) at the tim e of adoption of this Rul e . 



A- 



I availabl e for in s p e ction in the Children'; 



copy 

S e rvic e s S e ction. N.C. Division of Social S e rvic e s. 
Alb e marl e Building. 325 North Salisbury Str ee t. 
Ral e igh. North Carolina 27603. 
(64 — Hous e par e nt s shall b e abl e to r e cogniz e th e 
common s\mptoms of illn es s e s of childr e n and to 
note any marked physical or e motional handicaps 
of childr e n. 

A st e ril e clinical th e rmom e t e r shall b e k e pt 
available for us e . 



(€)- 



M e dicin e s upply cabin e ts s hall b e kept locked 



wh e n not in imm e diat e u se . 

{^ M e dical R e cords. Each child shall hav e a p e r s onal 

m e dical record availabl e which shall includ e : 
th e stat e m e nt of th e phy s ician who e xamin e d him 






at th e tim e of admission to th e hom e ; 
a r e cord of hi s immunizations: this r e cord s hall b e 
obtained within 30 days of a child's admission to 
the home: 
(G4 — cons e nt of par e nts or guardian s for m e dical car e : 
(&) — a r e cord of th e m e dical car e and e xaminations 
giv e n whi le in — eare; — including a r e cord of 
hospitalizations, significant illness e s or accid e nts, 
and treatm e nt giv e n. 

f7^ D e ntal R e cord s , includ e d in a child's m e dical r e cord 

shall — be — a — d e ntal — r e cord. — showing — dat e s — ef 
e xaminations and bv whom uiv e n. 



(b) Routin e Asp e ct s of H e a l th. P e rsonal Hygi e n e , and Safety. 

(-H Staff s hal l routin e ly app l y g e neral inf e ction control 

proc e dur e s which shall includ e but not b e limited to 
Universal Pr e cautions s p e cifi e d by th e C e nt e rs for 
Dis e as e Control. U.S. D e partment of H e alth and 
Human S e rvic e s. Public H e alth Servic e s. Atlanta. 
G e orgia — which — is — incorporated — by — r e f e rence 
including s ub se qu e nt am e ndm e nts and e ditions. A 
copy of that docum e nt may be obtain e d from the 
National AIDS Information Clearinghous e . P.O. 

Bex %m^. Rockville. Maryland 20 8 50, 

1 8 00 45 8 523 1 . at no co s t for a singl e copy at the 
time of th e adoption of thi s Rul e . — A copy is 
availabl e for insp e ction in th e Childr e n's S e rvices 
Section, — Nt€^ — Divi s ion — ef — Social — S e rvic es . 
Alb e marl e Building. 325 North Salisbury Str ee t, 
Ral e igh. North Carolina 27603. 

(3^ Sl ee p. — Each child in a group hom e shall hav e 

e nough sl ee p for his ag e at r e gular and r e asonable 
hour s and und e r conditions conduciv e to r e st. While 
childr e n ar e asl ee p, at l e ast on e staff memb e r shall 
b e n e ar e nough to h e ar calls. 

{?r) Hygiene. — Childr e n shall b e taught and h e lp e d to 

k ee p th e m se lv es cl e an. Th e y shall r e c e iv e training 
in all asp e cts of p e rsonal hygi e n e . Bathing and toilet 
faciliti e s shall b e in working order and k e pt cl e an. 

f4) Toil e t Articl e s. 



{^ 



(A) — Each child shall hav e his own cl e arly id e ntifi e d 
toothbrush, comb, tow e l and wash cloth and his . 
ovNn separat e place for k ee ping thos e p e rsonal Vj 
articl e s. 
(&) — Tow e ls, wash cloths, and b e d lin e ns shall b e 
changed w ee kly or mor e oft e n as requir e d by good 
hygi e n e . 
Saf e ty. — Any child car e staff tran s porting a child 
s hall hav e s uch child prop e rly s e cur e d in a child 
pass e ng e r — r es traint — syst e m — pursuant — te — the 



(^ 



a^ 



r e quir e m e nt s of G.S. 20 137.1. 
(c) Nutrition. 

f44 M e als s e rved to all childr e n shall provid e for th e ir 

nutritional r e quir e m e nt s as advis e d by th e National 

R e s e arch Council (R e comm e nd e d Daily Dietary 

Allowances). 

Any modified food n ee ds of an individual child shall 

b e provid e d und e r th e dir e ction of a lic e ns e d 

m e dical provid e r. 

Th e m e nus shall b e plann e d by or in consultation 

with a register e d nutritioni s t or di e titian. 

AuthorinG.S. 131D-I0.5: N3B-153. 

.0515 CHILD CARE AND DEVELOPMENT: 
RECREATION 

(a) Th e r e s hall be a plann e d program of r e cr e ation in lin e with 
the ag e s of th e childr e n and the purpos e of th e group home. 

fb^ — This program s hall incorporat e th e r es ourc es of th e 
communitv and involv e m e nt in communit\ activiti es . 



444 



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September 1, 1998 



13:5 



PROPOSED RULES 



Authority' G.S. I SID. Art. I A: I43B-I53. 
.0516 DISCIPLINE 



Authority G.S. 13 ID. Art. I A: N3B-I53. 
.0602 FINANCES 



{&) — In planning disciplin e , th e child's ag e . intelligence. Th e ag e ncy shall hav e a sound plan of Financing th e group 



e motional make up and his past exp e ri e nc e shall b e consid e r e d. 

(b) Disciplin e shall b e consist e nt. 

(c) Appropriat e work tasks or d e nial s of privil e g e s s hall b e 
acc e ptabl e m e thods of disciplin e . 

(d) Denial of m e als shall not be used as punishm e nt. 

(e) Corporal punishment shall not b e us e d. 

ff) Isolation or lock e d custody shall not b e us e d as 

punishm e nt, 
(g) No intimidation or v e rbal thr e at s 



shall b e used. 



Authorit\'G.S. 131D. Art. lA: 143B-153. 



.0517 WORK 



faf 



WORK 

The work program for childr e n in th e group hom e s hall 
hav e a s its purpose th e d e v e lopm e nt of good work habits and a 
s ense of re s ponsibility. Th e provision s of th e N.C. Child Labor 
Law concerning ag e . hours of labor and hazardous occupation s 
shall be compli e d with th e assignm e nt of work to childr e n. 

(b) Childr e n shall not b e r e quir e d to b e sol e ly r es ponsibl e for 
any major phas e of op e ration or maint e nanc e of th e hom e . Thi s 
would includ e cooking, laund e ring, hou se k ee ping, farming, and 
r e pair work. 

(c) No hom e shall r e quir e a child to work for th e purpo se of 
paying th e hom e for his co s t of car e e xc e pt wh e r e an old e r child 

k moving toward s e lf s upport e nt e rs into a contract with th e hom e 
H in which h e is paid for his work and assum e s a gradual d e gr ee of 
r e sponsibility for his own n ee ds. 

Authority G.S. 13 ID. Art. I A: I43B-I53. 

.0518 EXPLOITATION 

(a) — No child s hall b e us e d in any way for th e purpos e of 
soliciting fund s . 

(b) N e ith e r shall h e b e id e ntifi e d in conn e ction with publicity 
for th e hom e in any way which would caus e him or his family 
e mbarras s m e nt. 

(c) B e for e pictur e s or any oth e r m e ans of id e ntity'ing childr e n 
may b e us e d in publicity or public r e lations efforts for the home, 
a s tat e m e nt of p e rmission shall be obtain e d from the parents or 
custodian of th e child. Such p e rmission shall be obtained each 
and evor>' tim e public r e lations e fforts ar e undertaken . 

.Authority G.S. 13 ID. Art. lA: 143B-I53. 

SECTION .0600 - MINIMUM STANDARDS FOR 
PRIVATE AND PUBLIC AGENCY GROUP HOMES 

.0601 PURPOSE 

Th e ag e ncy shall cl e arly d e fin e in writing the purpose the 
group hom e is to s e rv e , including th e following: 

f+-) th e g e ographic area to b e se rv e d: 

(3^ th e childr e n to b e served: 

{¥) th e rang e of s e rvices to b e provid e d- 



hom e which a ss ur es suffici e nt funds to e nable it to cany out its 
d e fin e d purpos e s and provid e prop e r car e to children. 

.Authority G.S 13 ID. Art. lA: 143B-153. 

.0603 STAFF 

(a) Th e r e s hall b e a r e sponsibl e s taff p e rson d e signat e d as 
supervisor of th e group home staff and op e ration. 

(^) — Child Car e Staff. Couns e lor s . Teaching Parents, or 
Hous e par e nts. 

(-B Qualifications 



&^ 



(t\^ — s hall b e at l e ast 18 y e ars of ag e : 
(S) — s hall b e m e ntally and physically fit as e vid e nced 
by th e following: 

{i) a — physical — e xamination — complet e d — by — a 

lic e n se d m e dical provid e r, prior to assuming 
th e po s ition and e v e r\' oth e r y e ar th e r e after: 
th e co s t s of physical e xaminations which ar e 
r e quir e d for continuing e mploym e nt ar e to b e 
paid by th e group hom e : 

(ti^ a h e alth — qu e stionnair e compl e t e d by th e 

individual staff on e ach y e ar wh e n a physical 
e xamination is not r e quir e d: 
{m) — a TB s kin t es t prior to assuming th e position, 
and annually th e r e aft e r e xc e pt wh e n th e 
lic e ns e d m e dical provid e r advis e s against it: 
{Q) — shall hav e e ducation, training and exp e ri e nc e 

suffici e nt to e quip th e m for th e duti e s assign e d: 
{&) — shall not b e p e rsons who have b ee n found to have 
n e gl e ct e d or abus e d a child by any ag e ncy duly 
authorized by law to inv e stigat e all e gations of 
abuse or neglect . 
Duti e s 



(A) — shall hav e r e spon s ibility for th e day to day 
activiti e s of th e hom e and car e of th e childr e n: 

(R) — s hall — assum e thos e duti es — assign e d th e m — m 
accordanc e with any sp e cializ e d program of th e 
hom e . 



.Authority G.S. 131D-10.5: 143B-I53. 

.0604 PERSONNEL POLICIES 

(a) L e av e . Th e group home shall hav e a writt e n policy which 
provid e s child car e staff time off duty e ach month, including at 
l e a s t on e 1 8 hour p e riod, d e p e nding on th e staffing patt e rn 
utiliz e d and th e t\p e of car e provid e d. 



Duti e s 



e spons 



ibilities. — and 



(fe) teb — D e scription s 

qualifications for e ach staff position shall b e d e fin e d in writing. 

.Authority G.S. 131D-10.5: 143B-153. 

.0605 SOCIAL SERVICES 

Social s e rvic es shall b e gov e rn e d by Rul e s .0506 through 
.051 1 of this Subchapt e r. 



13:5 



NORTH CAROLINA REGISTER 



September 1, 1998 



445 



PROPOSED RULES 



AulhontyG.S. I SID. Art. I A: I43B-153. 

.0606 CHILD CARE AND DEVELOPMENT 

Ch il d ciir e and d e v el opm e nt sha l l b e gov e rn e d by Rul e s .0512 
through .051 8 of this Subchapt e r. 

Authority G.S. I SID. Art. I A: I4SB-I5S. 

SECTION .0700 - MINIMUM STANDARDS FOR THE 
PHYSICAL FACILITY FOR GROUP HOMES 

.0701 CONSTRUCTION: GENERAL REQUIREMENTS 

Any individual or organization proposing to build a n e w 
facility or conv e rt an e xisting building for a group hom e for 
childr e n mu s t comply with North Carolina Stat e Building Code 
which i s adopt e d by r e f e r e nc e pursuant to G.S. 150B \'\{c). 

AuthormG.S. 13ID-I0.5: I4SB-I5S. 



.0702 CONSTRUCTION: FUNCTIONAL 
REQUIREMENTS 

(a) Living Room. 

f4-) Th e living room shall b e acc e s s ibl e from an outside 

e ntranc e without going through sleeping areas or 
food s e rvic e or pr e paration areas. 

(33 The living room s hall hav e an ar e a of 200 square 

f ee t or. in e xisting buildings, shall b e larg e enough 
to m ee t th e n ee ds of th e family, resid e nt s and gu es ts. 

(b) Dining Ar e a. 

m Th e dining ar e a shall b e n e ar th e kitch e n. 

(3) Th e dining ar e a shal l b e a minimum of 120 s quar e 

f ee t in size or. in e xi s ting buildings shall b e larg e 
e nough to se at all family, r e sid e nts and guests 
comfortably, with ad e quat e spac e for s e rving food. 

(c) Kitch e n. Th e kitch e n shall b e larg e e nough to provid e for 
pr e paration and pr e s e rvation of food and cl e aning of dish e s. 

(d) B e drooms. 

m Rooms used for sleeping shall b e cl e arly id e ntifi e d 

as bedrooms and shall not s e rv e dual function s . 
No child shall s har e a b e droom with an adult. 



e quipp e d with a minimum of fiv e cubic feet p e r 
child for s torag e in b e droom s . 

f+43 B e drooms for multipl e occupancy shall provide a 

minimum of 8 squar e f ee t for e ach child, excluding 
clo se t and wardrob e s pac e . — Bedrooms for single 
occupancy shall provid e a minimum of 100 squaro 
f ee t, e xcluding clos e t and wardrobe space except 
that sh e lt e r hom es with a maximum l e ngth of stay of 
15 days shall provid e a minimum of 4 square feet 
p e r child in multi occupancy b e drooms. — Rooms 
w ith l es s than 8 s quar e f e et of floor ar e a shall not 



b e u se d a s b e drooms, 
( e ) Bathrooms. 

i4j Bathrooms shall b e locat e d as conveni e ntly as 

po s sibl e to th e bedroom s . 

Th e e ntranc e to th e bathroom cannot b e through a 



O^ 



kitchen or oth e r bathroom. 

Th e r e s hall b e a minimum of two wat e r closets, two 

tub s or on e tub and one show e r available to 

r e sid e nts. 



(^ 



Authorin- G.S. I SID. Art. I A: I4SB-I5S. 



.0703 CONSTRUCTION: 
REGULATIONS 

(a) General Requir e m e nts. 



FIRE SAFETY 



(3)- 

(3-) Each child shall hav e hi s own b e d e xc e pt that 

siblings of th e sam e s e x may shar e a doubl e b e d. 
(4) Childr e n old e r than six y e ars old of different sex e s 

shall not shar e a b e droom. 
^ Each b e d shall be not l e ss than 30 inch e s wid e nor 

l e ss in length than th e h e ight of th e child. 
{%) Each b e d s hall b e provid e d with sub s tantial spring s . Aitthority G.S. lSlD-10.5: I4SB-15S. 

a comfortabl e mattr e ss and s uitabl e b e d cov e ring. 
^ Th e r e shall b e thr ee f ee t of floor s pac e b e tw ee n 

W Bunk beds ar e not r e comm e nd e d. How e v e r, if the\ 



f+^ An e vacuation plan shall b e d e v e lop e d, and fire 

drills shall b e held at regular int e rvals to assure that 
both childr e n and staff ar e familiar with proc e dur e s 
to b e follow e d in th e event of fir e . 

{2) Staff and childr e n shall b e train e d in properly 

r e porting a fir e , in e xtinguishing a small fire, and in 
es caping from a fir e . 

{i) Fir e e xits, that is doors, hallway s , and stairs, shall b e 

w e ll light e d. Th e y shall b e k e pt cl e ar for passage 
and r e ady for instant u se . 

(4-) All hom e s shall hav e a telephone. 

(§-) Wh e n — alt e rnat e syst e ms of h e ating ar e — b e ing 

consid e r e d, th e Divi s ion of Facility S e n'ic e s shall be 
notifi e d in ord e r to approv e the system prior to 
installation, 
(b) Annual In s p e ction. In ord e r to b e e ligibl e for a lic e n se , a 
group hom e must r e c e iv e a satisfactory rating on insp e ction by 
th e county building in s p e ctor or local fir e d e partm e nt before th e 
hom e op e ns and annually th e r e after. 



ar e to b e us e d, th e y shall bo at l e a s t fiv e f ee t apart. 



.0704 CONSTRUCTION: HEALTH REGULATIONS 

(a) Group homos must me e t the minimum standards as set by 
th e North Carolina H e alth S e rvic e s Comm is sion. 

(b) Each group hom e shall hav e and us e a dishwash e r which 



f^ 



No day b e d. convertibl e sofa or oth e r b e dding of a i s maintain e d in good working ord e r. 



t e mporary nature shall b e us e d. 

f-l-&3 B e drooms s hall b e e qu i pp e d with a minimum of 50 

cubic foot p e r child for s torag e of c l othing and oth e r 
p e rsonal b e longing s e xc e pt that shelt e r hom e s with 
a maximum le ngth of s ta\ of 15 dass shall b e 



(c) In ord e r to b e e ligibl e for a lic e n se , a group hom e must 
r e c e iv e an approved rating on insp e ction by th e county s anitarian 
b e for e th e hom e op e ns and annually th e r e aft e r 



.4utliorinG.S ISID-10.5: I4SB-I5S. 



446 



NORTH CAROLINA REGISTER 



September I, 1998 



13:5 



PROPOSED RULES 



SUBCHAPTER 41G - MINIMUM STANDARDS 
FOR CHILD CARING INSTITUTIONS 

SECTION .0500 - PRIVATE INSTITUTION 
ORGANIZATION AND ADMINISTRATION 

.0501 DEFINITIONS 

(a) Child caring institution: a r e sid e ntial car e facilit\' utilizing 
p e rman e nt buildings locat e d on one s ite for 10 or mor e childr e n 
who are d e p e nd e nt, neglected, abandon e d, d e stitut e , orphan e d, 
delinqu e nt, or otherwise in n ee d of car e away from th e ir own 
hom e and not held in d e t e ntion. Th e purpos e of a child caring 
in s titution is to provid e fo s t e r care and related servic e s for 
childr e n who ar e unabl e to liv e in their own hom e s. Exc e ption 
can be mad e wh e n no mor e than two group hom e s locat e d on 
on e sit e and lic e nsed as m ee ting group hom e s for childr e n 
standards ar e op e rated by a count>' d e partm e nt of s ocial se rvic es 
or by a privat e program lic e ns e d to provid e child car e or child 
placem e nt services. 

fb) — Director: — th e p e rson who is in charg e of th e facility, 
dev e loping and sup e rvising its program of car e and se rvic e s. 

(c) Childr e n: includ e s p e r s ons r e siding in and und e r th e car e 
of th e institution who ar e 1 8 to 21 y e ars of age. Childr e n of s taff 
m e mb e rs ar e not includ e d. 



Authority G.S. 13 ID. Art. lA; 143B-155. 

.0502 PURPOSE 

Th e purpos e of th e in s titution shall b e cl e arly d e fin e d in a 
chart e r of incorporation which shall b e fil e d in th e Offic e of th e 
S e cr e tary of Stat e . Ral e igh. North Carolina. Such d e finition s 
shall includ e th e g e ographical ar e a to b e se rv e d, th e childr e n 
who will b e acc e pt e d for car e and th e s e rvic e s to b e provid e d for 
th ese childr e n and th e ir famili e s. — Chang e s in purpos e s of 
program s hall b e provid e d for in am e ndm e nts to th e chart e r fil e d 
in th e Offic e of th e S e cr e tary of Stat e . 



Authority' G.S. 131 D. Art. lA: 143B-153. 



.0504 LOCATION 

Th e institution shall b e locat e d availabl e to schools 



churches. 



hospital s , clinics, m e ntal h e alth s e rvic e s and r e creational 
faciliti e s. Th e location shall provid e saf e and ample playgrounds 
for childr e n in an ar e a conduciv e to th e ir h e alth and w e ll be i ng. 

Authority G.S. 131 D, Art. lA: 143B-153. 

.0505 GOVERNING BODY 

Th e institution shall hav e a gov e rning board responsible for its 
prop e r function in accordanc e with its purpos e s as sot forth in a 
chart e r of incorporation and in writt e n bylaws adopt e d by the 
board: 

(4^ Composition of Board 

fa) Th e board shall b e compos e d of m e n and wom e n of 

various occupations and e xp e ri e nc e . 

(fe) Th e board shall hav e a minimum of fiv e m e mb e rs. 

(2) Meetings of th e Board of Directors. A m ee ting of th e 

gov e rning board s hall b e held at least onc e a y e ar at 



(^ 



(ef 



(^ 



th e in s titution. Eith e r the full board or its e x e cutiv e 
committ ee (or e quival e nt) s hall m e et at l e ast quart e rly. 
Perman e nt records shall bo maintain e d of all me e tings 
of th e gov e rning board and th e e x e cutiv e committ ee . 
Function s of th e Board 



(a) Th e gov e rning board shall b e organized and shall 

function according to written b>iaw s adopt e d for th e 
r e gulation or manag e m e nt of the affair s of th e 
corporation. 

(b) Th e board s hall b e r es ponsibl e for d e t e rmining the 

purposes and function s of th e institution, for 
adopting polici e s gov e rning th e admini s tration, 
social s e rvic e s, child care and d e velopm e nt, and 
physical plant of th e institution, and for as s uring that 
th e institution — functions according to policies 

e stablish e d — by — the — board. The — board — shaH 

p e riodically r e vi e w th e institution's program to 
d e t e rmin e if chang e s ar e n ee d e d. 

{e) Th e board shall e mploy a dir e ctor of th e institution 

who m ee t s th e qualification s in Rul e .050 8 of this 
Subchapt e r and shall hav e r e sponsibility for its 
op e ration. — Wh e n th e institution i s on e of s e v e ral 
faciliti es governed by th e sam e board, th e Dir e ctor 
may b e hir e d by th e e x e cutiv e of th e ag e ncy who 
s hall b e e mploy e d by th e board. 

(d) If for any r e a s on th e Dir e ctor i s unabl e to p e rform 

assign e d duti e s, h e s hall b e r e plac e d and an acting 
dir e ctor appoint e d. 
44e — m e mb e r — of — the — gov e rning — board — ner 



subcommitt ee s th e r e of shall dir e ctly administ e r any 

part of th e op e ration of th e in s titution. No e mploy ee 

of th e in s titution shall b e a m e mb e r of th e gov e rning 

board. 

Th e board shall b e r e sponsibl e for sup e n'ising any 



inv e stments of th e institution, approving th e annual 
op e rating budg e t and any major items not includ e d 
in th e budget, authorizing all capital expenditur e s, 
and planning for se curing adequat e financial support 
for the in s titution. 



Authority G.S. 13 ID- 10. 5: 143B-153. 

.0506 FINANCES 

(a) — Th e institution shall hav e funds to meet th e costs of 
carrying out it s d e fin e d purpo ses and providing prop e r car e and 
s e rvic es for th e typ e and numb e r of childr e n acc e pt e d. 

(b) A budg e t shall b e approv e d by th e gov e rning board prior 
to th e b e ginning of e ach fi s cal y e ar s howing s ourc es and 
amounts of incom e and providing for: 

f+) s alari e s for r e quir e d numb e r of s taff. 

(2) m ee ting th e dir e ct co s t s of car e for th e numb e r and 

typ e of childr e n acc e pt e d. 
(3^ maint e nanc e of the physical plant. 



(4) m ee ting th e co s t of any propos e d e xpansion or 

r e plac e m e nt. 
fe) — Financial accounts s hall b e maintain e d showing all 
r e c e ipts, disbursements, ass e ts and liabiliti e s of th e institution. 
Th e accounting records shall b e maintain e d on a curr e nt ba s is 



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447 



8123 



PROPOSED RULES 



and conform to g e n e ra l ly accepted accounting princip le s. 
Financial r e port s shall b e mad e to th e board at l e a s t quart e rly. 

{4t) — All financi a l r e cords of the institution which r e c e iv e s 
gov e rnm e ntal funds shal l be audited annua l ly and th e audit 
r e port mad e a part of th e institution's permanent r e cords. Th e 
audit s hall b e mad e by an indopondont public accountant or 
public accounting firm. A copy of th e audit shall b e submitt e d 
e ach y e ar to th e D e partm e nt of Human R es ourc es . 

( e ) Th e provi s ion s of th e North Carolina law with r e gard to 
th e solicitation of fund s as found in th e G e n e ral Statut e s of 
North Carolina, Chapt e r 13 IC, Charitabl e Solicitation Lic e nsur e 
Act, shall b e m e t by tho se institutions carrying out campaigns 
within th e purvi e w of this law. 



assi s tanc e of thos e whoso responsibiliti e s or abilities 

qua l ify' them to h el p. The budg e t shall b e presented 

to the board for approval. 
(4^ H e shall b e r e sponsibl e for all customary purchases, 

with delegation of actual work to d es ignat e d staff. 

H e shall s e cur e approval for major it e ms not 

authoriz e d in th e budget. 
{4) He — shaH — be — r e sponsible — for — e mploying — and 

discharging all m e mb e rs of his s taff with d e l e gation 

of actual work to d e signated staff. 
{%) H e s hall hold staff meetings at r e gular int e rvals and 

discu s s plans and polici es with his s taff 
{€) He — sh*H — provide and promot e a program of 



W 



Authority' G.S. 131D-10.5: I43B-I53. 

.0507 STAFF: GENERAL 

Th e institution shall provid e th e staff and s e rvic e s n e c e ssary to 
insur e the prop e r car e and saf e ty of childr e n in care. — Staff 
memb e rs who provid e dir e ct car e for childr e n in th e in s titution 
or pr e par e th e ir food s hall hav e a phy s ical e xamination 
compl e t e d by a phy s ician, phy s ician's a s sistant, or nurs e 
practition e r, h e r e aft e r r e f e rr e d to as "lic e ns e d m e dical provider", 
within at l e ast six months befor e b e ginning work and bi e nnially 
thereafter. — A TB s kin tost is r e quir e d prior to assuming th e 
position and annually th e r e aft e r, e xc e pt wh e n th e lic e nsed 
m e dical provid e r advis e s against it. Examinations shall include 

tests n e c e ssary to d e t e rmin e that the staff m e mb e r i s abl e to carry Aiithorit}- G.S. I3ID-10.5; 143B-153. 
out a ss ign e d duti e s and do e s not hav e any communicabl e dis e as e 
or condition which po ses significant risk of transmission in the 
facility. 

Authority G.S. I31D-I0.5: 143B-153. 

.0508 THE DIRECTOR 

(a) Th e r e shall b e a fijil tim e dir e ctor to sup e rvis e th e program 



e ducation — fef — the — continu e d — training — and 
d e velopment of th e staff. H e shall be responsibl e 
for th e e ff e ctiv e n es s and e ffici e ncy of hi s s taff. 

{^ H e shall e stablish and maintain coop e rativ e working 

r e lationships with other social ag e nci e s in th e 
community — and — have — r e spon s ibility — fef — the 
int e rpr e tation of the in s titution's program. 

{%) H e s hall hav e r e sponsibility for administration, 

s ocial s e rvic e s, th e child car e program and th e 
physical plant of th e institution with d e l e gation of 
actual work in those ar e a s a s is appropriat e . 
H e shall d e l e gat e authority to a qualifi e d staff 
m e mb e r during his abs e nc e from the institution. 



.0509 SUPERVISORY STAFF/PROFESSIONAL 
SERVICES 

(a) Th e Departm e ntal h e ad s , unit dir e ctors, s up e rvi s or s , and 
oth e r manag e m e nt s taff s hall b e qualifi e d by e ducation, training, 
and e xp e ri e nc e for th e particular job responsibiliti e s to which 
th e y ar e assigned. 
fb4 — Th e institution shall hav e availabl e tho se prof e s s ional 
of car e and s e rvic e s of an institution lic e n se d for 20 or mor e s e rvic e s which a s sur e appropriat e car e for childr e n. — Such 
childr e n, and a dir e ctor at least part tim e for an institution 
licensed for loss than 20 childr e n. 

(b) Th e Dir e ctor shall hav e e ducation, training, and e xperience 
that qualifi e s him for planning, administ e ring, and sup e rvising 
a r e sid e ntial child care program. 

f&) — A dir e ctor appoint e d aft e r th e e ff e ctiv e dat e of th e s e 
standards s hall hav e a d e gr ee from an accr e dit e d four year 
coll e g e or univ e rsity and shall hav e at least two years of work 



prof es sional s e rvic e s shall includ e thos e of doctors and d e ntists, 
nurs e s, social work e rs, p s ychologists, psychiatrists, dietitians, 
h e alth e ducators and t e ach e r s . 



Authority G.S. 13ID-10.5: 1438-153. 

.0510 CLERICAL STAFF 

The — institution — shaH — hav e — cl e rical — s e rvic es — te — keep 



e xp e ri e nce, one of which was in a s up e rvisory capacity, in th e corr e spond e nc e , r e cords, bookk ee ping and fil e s curr e nt and 



good ord e r. Ther e shall b e at l e ast on e cl e rical p e rson on th e 
staff: 



fi e ld of child w e lfar e s e rvic es , h e alth s e rvic e s, e ducation, 
psychology, s ocial se rvic es , r e ligious e ducation, or other allied 
prof ess ion. 

(d) Th e Dir e ctor shall bo in charg e of th e op e ration of th e Authorir\-G.S. 131D. Art. lA: 143B-153. 
institution, making at least quart e rly r e ports for th e board on all 

pha se s — of its — op e ration. He — shaH — have — the — following 

responsibilities: 



.0511 CHILD CARE STAFF 

(a) Th e r e shall b e at least on e child car e work e r assigned for 
f+^ He — shah — have — r e sponsibility — fef — interpreting dir e ct car e and sup e rvision to e ach living unit or group of 

e stablish e d standards of child care and for initiating childr e n at all tim e s. 

and carry ing out a sound program in accordance fb^ — Th e ratio of child car e staff who are e mploy e d by th e 

with th e s e standards. 
(3^ H e shall p r epa r e th e in s titution's budg e t with th e 



in s titution to provid e car e and sup e rvision for childr e n s hall b e 
on e for e v e rv t e n childr e n six v e ars of ag e and old e r and on e for 



44H 



NORTH CAROLINA REGISTER 



September L 1998 



13:5 



PROPOSED RULES 



over\' eight children young e r than six y e ars of ag e includ e d in to th e institution's s e rvic e s. 

th e living unit. It" a living unit has all childr e n young e r than six 

year s of ag e th e r e shall b e on e child car e work e r for fiv e Authority G.S. 131D-10.5: I43B-153. 

childr e n. Staff included in th e ratio ar e child car e work e rs and 

sup e rvisors of child car e . — R e li e f staff are not includ e d in th e 

ratio. 



.0602 ADMISSION SERVICES 

(a) Admission polici e s shall b e cl e arly d e fined in writing and 
(c) Each m e mb e r of the child car e staff shall b e s e l e ct e d on th e availabl e to p e rsons or ag e nci e s making inquiries. Admission 



polici e s shall b e car e fully r e vi e wed from tim e to tim e and 
chang e d as n ee ds and conditions in th e community chang e . 



(c) bach m e mb e r ot the child car e start shall b e se l e ct e d on th e 
basis of his Icnowl e dg e . e xp e ri e nc e , and comp e tence required in 
caring for childr e n. 

(d) Child car e staff s hall b e no younger than 1 8 y e ars of ag e . (b) Admission s e rvic e s s hall b e in accordanc e with the stat e d 
{e) — Each child care work e r shall b e provid e d qualifi e d. polici e s of th e in s titution. Admissions shall b e limit e d to those 

comp e t e nt sup e rvision in th e ar e as of hom e manag e m e nt, child childr e n who ne e d car e apart from th e ir famili e s and for whom 
r e aring, family lif e e ducation, sound h e alth practic e s and h e alth 
maintenanc e , and food pr e paration and nutrition wh e n m e als ar e 
pr e par e d in th e living units by th e child car e work e rs. 

Authority G.S. 131D-10.5; 143B-153. 

.0512 MAINTENANCE STAFF 

There shall b e a suffici e nt numb e r of maint e nanc e staff to 



th e institution is qualifi e d by s taff, program, faciliti e s, and 
s e rvic e s to giv e appropriat e car e . 

(c) Staff r e sponsibility for d e cisions on admi ss ion s s hall b e 
cl e arly e stablish e d. 

(d) D e cisions on admissions shall b e bas e d upon a study of the 
total situation of th e child and his particular n ee ds. The study 
s hall b e mad e prior to admission and shall includ e all 
information which will e nabl e a car e ful analysis of th e 

assur e that th e op e ration and maint e nanc e of th e institution shall application to d e t e rmin e if th e institution's program of car e is 



not b e d e p e nd e nt upon th e work of th e childr e n in car e . 
Authority G.S. 131D. Art. lA: N3B-J53. 

.0513 PERSONNEL POLICIES 

(a) Th e institution shall hav e writt e n p e rsonn e l polici e s and 



appropriat e for th e child. 

( e ) Wh e n par e nt s or oth e r r e lativ e s with l e gal r e sponsibility 
for a child apply for th e child's admis s ion th e institution shall 
asc e rtain what community r es ourc e s ar e availabl e to k ee p th e 
child in hi s owti hom e , such as financial assistanc e , hom e mak e r 
s e rvic e s, day car e s e rvic e s, and oth e r supportiv e s e rvic e s. 

shall adh e r e to th e polici e s. — Th e s e polici e s shall includ e County d e partm e nts of social s e rvic e s wh e r e r e qu e st e d can assist 

famili e s in e valuating community r e sourc e s availabl e to th e m. 

(f) Childr e n shall b e acc e pt e d by writt e n application sign e d by 



^ complianc e with all applicabl e stat e and f e d e ral laws: 

f4-) Job D e scriptions. Th e r e shall b e a curr e nt writt e n 



job d e scription for e ach position which includ e s th e p e rson or r e pr e s e ntativ e of th e ag e ncy having l e gal authority 

qualifications for th e position, the duti e s of th e to plac e th e childr e n. Writt e n agr ee m e nts shall be mad e s e tting 

position, and sp e cifi e s to whom the e mployee is forth th e r e sponsibiliti e s of th e institution and of th e p e rson or 

r e sponsibl e . ag e ncy having l e gal authority for caring and planning for th e 

(3) L e av e . Th e institution shall hav e a writt e n policy child. — Provision shall b e mad e for continuing relationships 



which — provid e s — resid e nt — staff — with — dir e ct 
r e sponsibility for childr e n a minimum of six 21 hour 



between the institution, the l e gally responsibl e person or ag e ncy, 
and th e child during th e p e riod of placement. 
Th e y s hall hav e som e (g) Th e provi s ions of th e North Carolina int e r s tat e plac e m e nt 

law s (G.S. 110 50 to 110 57 and 110 57.1 e t. s e q.) shall b e m e t 
f3-) Dismissal. TTiere shall b e a policy conc e rning th e wh e n out of stat e childr e n ar e b e ing consid e r e d for admission or 



days off duty each month, 
fr ee tim e off duts e ach dav. 



discharge of employees which includ e s a gri e vanc e 
proc e dur e , 
(b) Living quart e rs shall b e provid e d for all staff who se job 
r es pon s ibiliti e s r e quir e them to live within th e in s titution. 

Authority G.S 131D-10.5: 143B-153. 

SECTION .0600 - PRIVATE INSTITUTION 
SOCIAL SERVICES 

.0601 STAFF 

Th e institution s hall hav e on e or mor e qualifi e d p e rsons on its 



discharg e . North Carolina int e r s tat e plac e m e nt laws r e quir e th e 
approval of th e North Carolina D e partm e nt of Human R es ourc e s 
prior to plac e m e nt of a child by an out of stat e ag e ncy. 
Corr e spond e nc e r e lativ e to admission, progr e s s , and discharg e 
of childr e n in custody of out of s tat e ag e nci e s shall b e rout e d 
through th e North Carolina D e partm e nt of Human R e sourc es , 
division of social s e rvic e s, as outlin e d in it s op e rational manual. 
fh) — No child shall b e acc e pt e d in an institution without a 
m e dical e xamination and a stat e m e nt s ign e d by a lic e n se d 
m e dical provid e r sp e cifying th e child's curr e nt m e dical condition 
and m e dications pr e scrib e d and indicating th e pr e sence of any 
communicabl e dis e as e or m e dical condition which may pos e a 

staff to provide admission, r e sidential, and discharg e s e rvic e s to significant risk of transmission in th e facility. 

childr e n and their famili e s. To b e qualifi e d, staff e mploy e d to fi) — In th e e v e nt of e m e rg e ncy admis s ions th e r e quir e d 

provid e social servic e s aft e r th e effectiv e dat e of th e s e s tandards admi ss ion proc e dur e s shall b e compl e t e d within two w ee ks 

shall hav e a d e gree in a human s e rvic e fi e ld from an accr e dit e d 

four y e ar coll e ge or univ e rsity. — Th e y shall b e familiar with 

community r e sourc es for childr e n and th e ir famili e s in addition 



following admi s sion. If mor e than fiv e p e rc e nt of an institution's 
population ar e admitt e d on an e m e rg e nc\ basis, in any 12 month 
p e riod, th e in s titution shall provide an id e ntifiabl e program for 



13:5 



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449 



PROPOSED RILES 



th e pro\i ji on ot o m e rgencx car e in a lixing un i l s e parat e from 
oth e r childr e n in r es id e nc e . 

Authority GS. I3ID-I0.5: 143B-153. 

.0603 RESIDENTIAL SERVICES 

(a) Each child in care shall hav e a staff p e rson r es ponsibl e for 



arrang e m e nts to b e mad e for th e child's car e . In all cases the 
d e cision to discharg e a child and th e child's d e cision to l e ave the 
in s titution shall b e mad e known to the person or ag e nc> having 
l e gal r e sponsibilitv for th e child and opportunitv provid e d for 
discussion of this action. 

(b) Childr e n shall not b e rolops e d and admitt e d to th e care of 
anoth e r institution or tr e atm e nt facilit\ xvithout th e knowl e dge 



a ss isting him in making th e best us e of his sta\ in th e i nstitution. and cons e nt of the p e rson or ag e ncs having l e gal authorit> for 
This shall include opportuniti e s to talk privat e K about his placing the child, 
exp e ri e nc es living in th e institution and to expr e ss gri e vance. 
Professional s e rvic es shall bo made availabl e for children who 
need help in r e solving p e r s onal or famiK probl e m s . 



AuthonT\G.S. I31D-10.5: 143B-153. 



(b) .Arrangem e nts shall b e mad e for s taff to talk with par e nts- 
r e lativ es . — &F — repr e sentativ e s — ef — ag e nci e s — having — legal 
r es ponsibilit). about an individual child's car e and adjustm e nt in ef^ 
th e institution. 

{^ — Visiting polici es for th e institution shall b e flexible to 
allow parents, r e lativ e s, and fri e nds to visit with childr e n at l e ast 
twic e a month. 

<-d-) — No child shall b e allow e d to visit with anyon e for 
w ee k e nds, holidavs. and vacations without th e con se nt of th e 
p e rson or ag e ncv hav ing l e gal r es ponsibilitv for him. 



(c) If the institution us e s privat e famili e s in th e communit> as 
vi s iting hom e s for childr e n the int e r e sts, n ee ds, and w e lfar e of 
e ach child shall b e con s id e r e d in arranging th ese visit s . — The 
institutions shall ass e ss e ach privat e familv to b e us e d as a 
visiting hom e to d e t e rmin e if th e familv can provid e prop e r car e 
and s up e rv i s ion for childr e n. 

(f) A r e vi e w shall b e mad e at l e ast onc e a v e ar of e ach child 
in car e to reassess his needs. Th e r e v l e w is to id e ntify w hat t\ pe 
of car e and se rvic e s ar e needed bv th e child, if h e n ee d s 
continu e d car e in th e institution, or if his famiK circumstanc es 
hav e chang e d and h e can be r e turn e d to his hom e . 

(g) Wh e n a child whos e par e nts plac e d him in th e institution 
no long e r has his par e nts availabl e to him du e to th e ir d e ath, or 
incapacity, or abandonm e nt of th e child, th e institution shall 
r e f e r th e matt e r to th e count> d e partm e nt of social s e rv ices or 
court hav ing jurisdiction or to an attom e v with th e r e qu e st for a 
l e gal guard i an or custodian to b e appoint e d for th e child. 

fh^ — Wh e n adoption is in th e b e st int e r e st of a child whos e 
par e nts ar e d e c e a se d or who se par e nts or oth e r r e lativ es cannot 
prov id e a hom e for him. r e f e rral for adoption s e rv ic e s shall b e 
discussed with th e p e rson or agencv r e pr e sentativ e having l e gal 
r e sponsibility for the child. 

(i) Th e institution shall not plac e or att e mpt to plac e childr e n 
from th e institution in fost e r familv or adoptiv e hom e s unl e ss the 
institution is an ag e ncv licens e d to provide fost e r famiK or 
adoption s e rvic e s. 

Authorm-G.S. 131D-10.5: 143B-153. 

.0604 DISCHARGE SERVICES 

(a) Staff r es pon s ibilitv for d e cision s on discharging childr e n 
shall be cl e arlv e stabli s h e d. Childr e n und e r 1 8 v e ars of ag e shall 
be discharg e d to th e p e rson or ag e ncv having l e gal custodv of 
the childr e n. Insofar as pos s ibl e th e r e l e as e of e ach child shall 
bo plann e d with him and with th e p e rson or repres e ntativ e of the 
ag e ncv having l e gal respon s ibilitv for him allowing tim e for 



.0605 RECORDS 

(a) Th e institution shall maintain cas e r e cords for th e purpo se 



f+4 prot e cting th e l e gal rights of th e child, his par e nts 

and l e gal cu s todian, and th e institution: 

^ docum e nting th e kinds of s e rvic e s r e nd e r e d to a 

child and his famiK: and 

(-3^ prov iding a source of information about individual 

childr e n, as w e ll as information for th e institution in 
planning its program of car e and s e rvic e s, 
(b) Cas e r e cords shall include th e following information for 
e ach child: 

(4-) compl e t e d application form sign e d bv th e p e rson or 

ag e ncv hav ing l e gal authorit\ to plac e th e child: 

(5-) a pr e admission studv of th e child and his familv 

situation, including an e xplanation of custodv and 

l e gal r es pon s ibilitv for th e child a s indicat e d b> 

par e ntal — stat e ments. — court — orders. — er — ag e ncv 

agr ee m e nts: 

a v e rification of birthdat e : 



f+f- 



medical — cons e nt — sign e d — by — the — p e rson — er 



r e pr e s e ntativ e of th e ag e ncy having legal custodv of 

th e child: 
f^-) agr ee ments indicating th e r e sponsibiliti e s of th e 

p e rson or ag e ncv hav ing legal r e sponsibility for th e 

child and th e institution in planning and caring for 

th e child: 
(4^ agreements and cons e nts for visits outsid e th e 

institution: 
f74 r e ports of th e pr e admis s ion m e dical examinations. 

including immunizations, and r e ports on all medical. 

d e ntal or p s v chological s e rv ic e s provid e d whil e th e 

child i s in car e : 
{%) a writt e n s ummarv pr e par e d at l e ast annually of th e 

revi e w of th e child's n ee ds, his progress or lack of 

progr e s s — m — eare — and — chang e s — m — h« — familv 

circumstanc e s: 
(9^ a — discharg e — summarv — indicating — date — and 

circumstanc e s of discharg e and plan for car e in th e 

communitv. 
(c) Th e institution shall maintain a r e cord of e ach r e qu e st for 
admission r e c e iv e d during a curr e nt v e ar th e action tak e n on th e 
r e qu e st, and th e dispo s ition mad e . 



Authorities. 131D-10.5: 143B-153. 



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.0606 REPORTS 

The institution s hall submit an annual r e port to th e D e partm e nt 
of Human Re s ourc e s on Form DSS 1 8 '13. annual r e port to th e 
B D e partm e nt of Human R es ources, division of social se rvic es . 

Authority G.S. BID. Art. I A: 1 43 B- 153. 

SECTION .0700 - PRIVATE INSTITUTION 
CHILD CARE AND DEVELOPMENT 

.0701 SOCIAL ASPECTS OF CARE 

(a) The Child as an Individual 
fH Each — elwW — steH — be — consid e r e d — em — individual 

p e rsonality. He — shaH — be — giv e n — appropriat e 

opportunities for grovMh as a uniqu e individual, for 
l e arning on his own as w e ll as in a group, for doing 
things by hims e lf, for hims e lf, as w e ll as with and for 
oth e rs. 

(3) Efforts shall b e mad e to giv e e ach child s uffici e nt 

individual att e ntion and aff e ction to compensate in 
som e d e gr ee for th e r e gim e ntation of group living. 

(3) Each child shall hav e th e opportunity' to form 

con s tructiv e r e lationship s with staff of both sex e s. 

f4^ Each child s hall b e allow e d to experience ownership 

and hav e his own plac e to k ee p hi s pos se ssion s . 

(#) Each child s hall hav e p e r s onal clothing and hav e his 

own plac e to k ee p hi s clothing. H e shall b e allow e d 
to tak e part in se l e cting hi s clothing according to his 
ag e and ability to do so. — Wh e n h e l e av es th e 
institution h e s hall b e allow e d to tak e his clothing 
with him. 

(#^ Each child s hall b e giv e n th e opportunity of l e arning 

the — valu e and — us e of mon e y through — e arning, 
sp e nding, giving and saving. Each child shall hav e an 
allowanc e appropriat e to his ag e to sp e nd as h e 
wish es . 

(b) Th e Child and his Family 
(4^ The — institution — shaH — provid e — and — e ncourag e 

opportuniti e s for e ach child to maintain contact and 
visit with par e nts, siblings and relativ e s both at the 
institution and away from the institution in s ofar as 
circumstanc e s permit, and these contact s and vi s it s ar e 
approv e d by the p e rson or ag e ncy having legal 
r e sponsibilit>' for th e child when oth e r than th e natural 
par e nts. 
(3^ — No humiliating r e marks about a child's par e nts, 
r e lativ e s, or guardian shall be mad e to th e child or to 
oth e r childr e n in th e institution. 
fe) — Th e Child and th e Institution. — Each child shall b e 
a ss ign e d to th e car e of a child care work e r who shall b e 
r e sponsible for a ss uring his daily car e . Each child s hall b e giv e n 
th e opportunity to di s cuss any p e rsonal concerns in confid e nc e 
with his child care work e r, 
(d) Th e Child and th e Community 

(4^ Th e institution s hall mak e whatev e r efforts are 

possibl e toward h e lping th e childr e n hav e normal 
contacts in th e community in which th e institution is 
locat e d s uch as participation in school functions. 



recreational faciliti e s. character building 

organizations, church youth groups, and part time 
paid or volunt ee r jobs. 

(3) — Childr e n shall b e e ncourag e d to form friendships with 
childr e n outside th e institution, to vi s it th e ir fri e nds in 
th e community' and hav e th e ir friends visit th e m in th e 
in s titution. Childr e n s hall hav e access to telephones 
to provide th e m with opportunit>' to maintain contact 
with fri e nds and family members, 
( e ) Disciplin e 

(4-) — Th e institution shall hav e cl e arly d e fin e d, writt e n, 
r e asonabl e disciplinary polici es which ar e fair to 
childr e n and s taff. Th e s e polici e s shall b e dir e ct e d at 
h e lping e ach child d e v e lop hi s own s e lf control and 
as s um e r e sponsibility' for his ov \ ti act s . Th ese polici es 
shall includ e measures to protect childr e n from abu se . 

(3) — Administration of discipline shall — b e an adult 
r e sponsibility. No child or group of childr e n shall b e 
allow e d to punish another child. 

{?r) R e qu e sts mad e of childr e n and standards s e t for their 

b e havior shall b e r e asonabl e and within their abilit>' to 
achi e v e. 

(4) — Childr e n shall not b e subj e ct e d to cru e l, s e v e r e or 
e xc e ssiv e punishment including, but not limited to. 
physical abus e , v e rbal abus e , lock e d confin e m e nt, 
deprivation of food, of mail, and of family visits and 
contacts. 
(0 Work Assignm e nts 

(+) Work assignments for childr e n in the institution shall 

be planned for a child to have meaningful work 
e xp e ri e nc e s and to d e v e lop good work habit s and a 
se ns e of r e spon s ibility. 

(3-) Work assignm e nt s shall b e mad e according to th e ag es 

and abiliti es of childr e n. Childr e n s hall b e provid e d 
adult s up e rvision on th e ir work as s ignm e nt s . 

f34 Work as s ignm e nts s hall not int e rf e r e with s chool. 

r e cr e ation, study p e riods, ad e quat e sl ee p, communit^y' 
contacts and visits with family. 

(4^ Childr e n shall not be substitut e s for e mploy e d staff. 

They shall not be r e quir e d to cany out r e sponsibiliti e s 
of staff. 

{^ An institution shal l not requir e a child to work for th e 

purpos e of paying the institution for his car e , 
(g) Exploitation 

fH — No child shall b e used in any way to solicit funds. 
N e ith e r s hall h e be identified in conn e ction with 
publicity for th e in s titution in any way which will 
bring him or his family e mbarrassment. — Writt e n 
p e rmi ss ion s hall be obtained from th e p e rson or 
ag e ncy having l e gal responsibility for e ach child 
b e for e pictures or any oth e r m e ans of id e ntify'ing 
childr e n are used in publicity or public r e lation s 
e ffort s of the institution. 

{5) — No child shall be forc e d to aclcnowl e dgc in public his 
depend e ncy on th e institution or his gratitude to it. 



Authorities. 131D-10.5: 143B-153. 



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451 



1^ 



PROPOSED RULES 



.0702 RECREATION 

{xt) — Th e in s titution shall pro\id e individual and group 
recr e ational opportuniti e s appropriat e to the age. intor o st. and 
n e eds of e ach child. — Suitabl e space and comp e t e nt adult 
direction shall b e provid e d for both indoor and outdoor 
recr e ational activiti e s. 



fef 



(b) 1 h e r e cr e ationa l program shall provid e opportuniti e s 
bo> s and girls to plav tog e th e r as vs e ll as s e parat e ly. For old e r 
children a dating policy s hall b e e stablish e d which will allow 
th e m opportuniti e s for d e v e loping s ocial r e lation s hip s with 
oth e rs of their own ag e group in th e institution and in th e 
community. 

Aiahonn- G.S. 131D-10.5: 143B-J53. 

.0703 EDUCATION 

(a) The institution shall s ee that e ach child of school ago is 
provid e d an e ducation in a public school or nonpublic school 
which i s op e rat e d in accordanc e with th e public school lavss or 
with th e nonpublic s chool law s of North Carolina. 
— (b) If a school is maintain e d and op e rat e d by th e institution. 
or an e ducational program is op e rat e d by th e institution which 
childr e n att e nd in li e u of att e nding school s off campus. — the 
institution shall comply with N.C. G e n e ral Statut e s gov e rning 
nonpublic schools. 

— (c) Faciliti es shall b e provid e d by the institution for hom e 
study and for r e f e r e nce books. — Provi s ions shall b e mad e for 
rem e dial assistanc e as indicat e d b\ th e n ee ds of th e children. 



Authority G.S. 131D-W.5: 143B-153. 

.0704 RELIGIOUS TRAINING 

(a) Each child s hall hav e opportuniti es for r e ligious e ducation 
and to att e nd r e ligious se rvic es . 

(b^ — Each institution shall hav e cl e arly d e fin e d polici e s 
r e garding r e ligiou s training and practic e s for th e information of 
tho se con s id e ring plac e m e nt of childr e n in th e institution. 

Authorit}-G.S. 131D-10.5: 143B-153. 

.0705 MEDICAL PROGRAM 

Th e institution shall hav e a plann e d program of m e dical car e 
which shall b e impl e m e nt e d and includ e e ach child in car e : 

fT) Admi s sion R e quir e m e nt. Each child shall hav e had a 

m e dical — e xamination — prior to admi s sion. The 

e xamination shall b e r e port e d in writing and sp e cify 
any m e dical condition th e child might hav e r e quiring 
obs e rsation. — monitoring — ef — tr e atment — and — am- 



(^ 



m e dications pr e scrib e d. 
Medical Care 



fa-) Arrang e m e nt s shall b e mad e with on e or mor e 

lic e ns e d m e dical phy sicians or medical clinic s 
for th e m e dical car e of th e children. 

(W Each child shall hav e a ph> sical e xamination at 

l e ast once a \ear and mor e oft e n as n ee d e d. A 
child shall not b e allow e d to participai e in 
activities injuriou s to his h e alth. Anv illn e s s . 
dis e as e — er — m e dical — condition — requiring 



obs e rvation, monitoring or tr e atm e nt of a child 
shall b e identifi e d and tr e ated promptly through 
prop e r m e dical care. — Children shall have 
psychiatric or psychological examination or 
both when indicat e d and treatm e nt wh e n 

fe) The child car e staff shall be instructed as to 

what medical car e ma\ b e giv e n by th e m 
without specific ord e rs from a licens e d m e dical 
provid e r. Th e \ shall b e instructed as to how 
and xs'h e n to obtain further care and how to 
handl e e m e rg e nci e s. 

{^ Hospital Car e . Arrangement s s hall b e made with a 

hospital for the admi s sion of childr e n from the 
institution — m — the — event — of s e rious 



Illn es s — OF 



e mergencv. 



f4-) First Aid. At l e ast on e m e mb e r of the child car e staff 

on duty at any giv e n tim e shall hav e tak e n a cours e in 
first aid given by a qualifi e d instructor and b e able to 
administer first aid. First aid kits shall b e available. 

f5^) Hom e H e alth Car e 



(*) Th e institution shall not engag e in any hom e 

h e alth car e practic es that conflict \sith th e 
control m e asur es for communicabl e dis e ases in 
15A NCAC 19A .0200. which is incorporated 
by r e f e r e nc e including subsequent am e ndm e nts 
A copy of 15A NCAC 19A 



Wt 



le dical r e cord which shall includ e th e r e port of th e 
phy sician who e xamined him prior to admission to th e 
in s titution, a r e cord of his immunizations, cons e nt for 
m e dical car e sign e d by th e person or repr e s e ntativ e of 
th e ag e ncy having l e gal custodv of the child, a r e cord 
of each physical e xamination and of medical car e 



and e dition s 

.0200 may b e obtain e d from th e Office of 
Administrativ e H e arings. P.O. Drawer 271 17. ^ 
Ral e igh. — North — Carolina — 27611. — (W^ ^ 
733 2678. at a cost of x\\o dollars and fifty 
c e nts (S2.50) at the tim e of adoption of this 
Rul e . A copv is availabl e for insp e ction in th e 
Childr e n' s S e rvic e s S e ction. N.C. Divi s ion of 
Social S e rvic e s. Alb e marle Building. 325 
North Salisbury Stre e t. Raleigh. North Carolina 
27603. 

fh) Each m e mb e r of th e child car e staff shall b e 

abl e to — r e cognize — common — symptoms of 
illn es s e s in childr e n. Th e child car e staff s hall 
b e al e rt to any inf e ctiou s condition of th e 
childr e n and s hall tak e prop e r pr e cautions to 
pr e v e nt th e spr e ad of such condition. 

fe^ Th e child car e staff shall be abl e to provid e 

hom e — nur s ing — eafe^ A — s t e ril e — clinical 

th e rmom e t e r shall b e k e pt availabl e for u se . 
When appropriate, arrang e m e nts shall be mad e 
for isolation and attendant car e of a child with 
a communicabl e di se as e . 

-fd^ M e dicin e s shall b e stor e d in a se parate cabinet. 

clos e t or box not acc e ssibl e to childr e n. 
{^ M e dical Records. Each child shall hav e a p e rsonal 



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giv e n while the child is in car e . — The latter shall 
includ e — a — record — of hospitalizations. — all e rgi e s- 
significant illn e sses or accidents and tr e atm e nt giv e n. 

Authorin- G.S. 131D-I0.5: 143B-153. 

.0706 DENTAL PROGRAM 

The institution shall hav e a plann e d program of dental car e 
and d e ntal h e alth which shall b e follow e d for each child in car e : 

fH Routin e Car e and Tr e atm e nt 

(ft) Arrang e ment s shall b e mad e with on e or mor e 

lic e ns e d dentists for th e d e ntal car e of th e 
childr e n. 

-fb) Each child shall hav e a d e ntal e xamination at 

l e ast onc e a y e ar and treatment as indicat e d. 
(3^ — Dental R e cords. Includ e d in a child's m e dical r e cord 
shaH — be — a — d e ntal — r e cord — indicating — dat e s — ef 
e xamination and treatment. 



Authorin- G.S. 131 D. Art. lA: 143B-153. 



snacks ar e milk, fr e sh fruits and veg e tabl es , ch ee s e , p e anut 
butt e r, nut s , popcorn, crack e r s , and occasionally, cooki e s. 

(c) M e nus shall b e planned and writt e n b\ or in con s ultation 
with a r e gist e r e d nutritioni s t or di e titian. Wh e n food s e rvices are 
not dir e ct e d by a nutritionist or di e titian, who i s d e fin e d as a 
graduat e of a school of hom e e conomics or dietetics, p e riodic 
consultation with a r e gist e r e d nutritionist or di e titian shall be 
impl e m e nt e d. — R e cord s of consultations and r e comm e ndations 
shall b e maintain e d by th e facility. 

(d) Menus s hall b e plann e d and writt e n at l e ast one w ee k in 
advanc e to insure the meeting of nutritional n ee ds and to giv e the 
basis for purchasing to m ee t these needs. 

( e ) Childr e n and staff m e mbers who eat with th e m s hall b e 
s e rv e d th e sam e food e xc e pt for t e a and coff ee , unl e ss 
diff e r e nc e s in ag e or sp e cial di e tary n ee ds ar e factors. 



Authority- G.S. 131D-10.5: 143B-153. 

SECTION .0800 - PRIVATE INSTITUTION 
BUILDINGS: EQUIPMENT AND SAFETY 



.0707 ROUTINE HEALTH CARE AND 
PERSONAL HYGIENE 

(a) — Staff shall routin e ly apply g e n e ral inf e ction control 



.0801 CONSTRUCTION 

(a) Construction plan s for n e w. r e con s truct e d or r e novat e d 
buildings s hall b e compatibl e with th e child car e function of th e 



proc e dure s which shall includ e but not b e limit e d to Univ e r s al institution and its program needs. A child caring institution shall 

Pr e cautions specified by th e C e nt e rs for Dis e as e Control. U.S. not off e r in th e sam e building two diff e r e nt typ e s of occupancy 

Department of Health and Human S e rvic e s. Public H e alth or programs of car e . 

Services. Atlanta. G e orgia which is incorporat e d by r e f e r e nc e (b) All local and stat e building cod e s and zoning r e gulations 



including subsequent amendm e nts and e ditions. A copy of that s hall b e compli e d with in th e construction of a n e w child caring 
document ma>' be obtain e d from th e National AIDS Information institution, in th e conv e rsion of an e xisting building for child 
Cl e aringhous e . P.O. Box 6003. Rockvill e . Mar\land 20 8 50. 
I 8 00 4 5 8 5231. at no cost for a single copy at th e tim e of th e 
adoption of this Rule. A copy is availabl e for insp e ction in th e 
Childr e n's Service s Section. N.C. Division of Social S e nic e s. 
Alb e marl e Building. 325 North Sali s bur> Str ee t. Raleigh. North 
Carolina 27603. 
fb) — Children shall bo taught and helped to d e velop good 



caring institution purpos e s, and in th e r e mod e ling of an e xisting 
child caring institution. 

.Authority G.S 131D-10.5: 143B-153. 

.0802 REQUIREMENTS FOR APPROVAL 

fa) — Preliminarv and final construction plans for all n e w 



h e alth car e . Each child s hall hav e e nough sl ee p for his ag e at buildings and of all conv e rsion s s hall b e submitt e d to and 
r e gular and reasonabl e hours and und e r conditions conducive to approved by th e D e partm e nt of Human R es ourc es , division of 






facilitv — se rvic es . — construction — se ction 



prior 



to b e s 



(c) Childr e n s hall r e c e iv e training in all asp e cts of p e rsonal con s truct i on. Four s e ts of construction plans and s p e cification s 



hygien e . They shall b e taught and h e lp e d to k ee p th e ms e lv e s 



shall b e forward e d to th e D e partm e nt of Human R es ourc e s 



{4) Each child shall hav e his ov s n cl e arly id e ntifi e d divi s ion of facility' s e rvic es , construction se ction for di s tribution 

toothbrush, comb, tow e l and wa s h cloth and hi s own se parat e to and r e vi e w by th e Divi s ion of facility se rvic es , th e Divi s ion 

of Social S e rvic e s, th e Division of h e alth s e rvic e s, and th e 
D e partm e nt of In s uranc e , e ngin ee ring division. 

(b) If a qu e stion aris e s as to wh e th e r an e xi s ting building us e d 
for child caring in s titution purpo se s m ee ts th e r e quir e m e nt s of 
th e North Carolina Stat e Building Cod e , an int e rpr e tation can b e 
obtain e d by submitting a floor plan of th e building tog e th e r with 
d e tail s of con s truction to th e D e partm e nt of Human R e sources, 
division — of facility' — s e rvic es . — construction — s e ction — or by 
r e qu e sting an on s it e visit by a m e mb e r of the staff. 



plac e for k ee ping th e s e p e rsonal articl es . Tow e ls, fac e cloths, 
and b e d lin e ns shall b e chang e d as fr e qu e ntly a s n e c es sarv to b e 
cl e an. 

Authority- G.S 131 D. Art. lA; 143B-153. 

.0708 NUTRITION 

fa) — Nutritious foods shall be provid e d in th e vari e t> and 
amounts n e c e ssarv' to m ee t th e National R e s e arch Council's 
r e commended daily di e tarv' allowanc es . Sp e cial di e t s s hall b e 
plann e d to meet any modifi e d food needs of individual childr e n. Authority- G.S. 13 ID. Art. I A; 143B-153. 

(b) Nouri s hing s nacks shall b e provid e d and may b e part of 
th e daily food n ee d s , but th e y s hall not replace regular m e al s . 
Snacks ar e to b e r e corded on th e r e gular m e nu. R e commended 



.0803 GENERAL REQUIREMENTS 

All buildings to b e us e d for child caring institution purpos es 



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PROPOSED RULES 



shall m eo t th e r e quir e m e nts of th e North Carolina Stat e Bu i lding 

Cod e . — wh i ch — i^ — adopt e d — b^ — r e f e r e nc e — pur s uant — to G.S. 

1 50B I 1(c). for th e t\p e of occupancv for which th e building is 

to b e us e d: 

(4^ Institutional Occupancy. R e sid e ntial car e faciliti e s for 

10 or mor e childr e n who ar e d e p e nd e nt, n e gl e ct e d, 
abandon e d, d e st i tut e , orphan e d, d e linqu e nt, and not 
invo l untarily d e tain e d s hal l m ee t r e quir e m e nts for 
In s titutional Occupancy unr es train e d in Vol. I S e ction 
4 00 and Vol. I C (handicapp e d r e quir e m e nts) of th e 
North Caro l ina State Building Code. 
(3-) R e sid e ntial Occupancy 



with th e North Carolina State Building Cod e . Volum e I. S e ction 
720 in which six or mor e children reside. 

(j) All e l e ctrical and h e ating installations shall b e approv e d b\ 
th e local building in s p e ction department and the e l e ctrical v\ iring 
in th e building shall conform with th e r e quirem e nts stat e d in 
Volum e IV of th e North Carolina Stat e Building Cod e . 

Authority G.S. 131D-10.5: 143B-153. 

.0805 GENERAL SANITATION 

(*) — Prop e r faciliti es shall b e provided throughout the 
institution's buildings and pr e mis e s to e nable complianc e with 



(af- 



(fef- 



All r e sid e ntial car e facilities keeping as many as 6 acc e pt e d s anitation standard s . — Th e wat e r suppK. s e werage 
and l ess than — 10 childr e n who ar e d e p e nd e nt. di s posal, solid wast e disposal, food servic e , and other facilities 

n e gl e ct e d. abandon e d. d e stitut e . orphan e d. 

d e linqu e nt or chi l d re n wh o ar e s e parat e d t e mporarily 
from th e ir par e nts shall meet group A "special 
occupancy r e quir e m e nt s " in S e ction 520 of Chapt e r 
V of th e North Carolina Stat e Building Cod e . 
All r e sid e ntial car e faciliti e s k ee ping no mor e than 



fiv e childr e n shall meet the North Carolina Uniform 
R e sid e ntial Building Cod e . Mobil e hom es ar e not 
allow e d for child caring in s titution r e sid e nc es . 



Authorities. I31D-I0.5: N3B-153. 

.0804 FIRE SAFETY 

(a) Ch i ldr e n and s taff shall b e instruct e d on t'lre pr e vention. 

(b) Car e shall b e e x e rcis e d by th e staff in allowing childr e n to 
us e match e s, or to handl e inflammable or combustibl e mat e rials. 

(c) Fir e e vacuation plans shall b e d e v e lop e d and post e d in 
e ach building. 

(d) Fir e drills sha l l b e h e ld p e riodicalK for both childr e n and 
s taff, at l e ast quart e rK. 

( e ) Th e s taff and childr e n r e siding in an institution shall b e 
train e d in prop e rK r e porting a fir e , in e xtinguishing a small fir e , 
and in e scaping from a fir e . 

(f) For e v e ry 2.500 squar e f ee t of floor ar e a and for e ach floor 
th e r e shall b e at least on e fir e e xtinguish e r. Fir e extinguish e rs 



4e4- 



accordanc e with th e standards of th e 



s hall m ee t applicable rul e s and regulations of the Division of 
h e alth s e rvic e s: 

m Institutional Occupancy. — Each building providing 

car e or food s e rvic e to 13 or mor e childr e n shall 
m ee t th e r e quir e ments of "Rul e s Gov e rning the 
Sanitation of Ho s pital s . Nursing and Rest Homes. 
Sanitarium s , and Educational and Oth e r Institutions" 
pr e par e d by th e D e partment of Human R e sourc e s, 
division of h e alth s e rvic e s, sanitary e ngin ee ring 
s e ction. 

(3^ R es id e ntial Occupancy. — Each building providing 

car e or food s e rvic e to no mor e than 12 childr e n 
shall meet the requirement s of "R e sid e ntial Care 
Faciliti e s" for not mor e than 12 r e sid e nts pr e pared 
by th e D e partm e nt of Human R e source s , divi s ion of - 
h e alth — servic e s. — sanitary — e ngin ee ring — se ction. W 
Acc e ptabl e faciliti e s includ e : 
(tV) — a — prop e rly — op e rating — dom e stic — dishwashing 

machin e , or 
(ft) — imm e r s ion for at l e ast on e minut e in c le an hot 
wat e r at a t e mp e rature of at l e ast 170 d e gr e es 
Fahr e nh e it or hott e r or 
{Gj — imm e rsion for at l e ast two minut e s in cl e an wat e r 
to which has b ee n add e d e nough ch e mical sanitiz e r 
to provid e at l e ast 50 parts p e r million of available 
chlorin e or 12.5 parts p e r million of availabl e 
iodin e . 



s nail b e provi 

National Fir e Prot e ction Association standard numb e r 10. Th e v 
shall b e in s p e ct e d r e gularU and k e pt charg e d and fill e d at all (b) To assur e complianc e with all local and s tat e s anitation 

r e gulations, construction plans for a new child caring institution 



times in accordanc e with National Fir e Prot e ction A s sociation 
s tandard numb e r 10. 

(g) Fir e e xits, that is. doors, hallwavs. and stairs, shall b e w e ll 
light e d, k e pt cl e ar and r e ady for instant us e . No locks shall b e 
installed on e xit and on room doors which would pr e v e nt 
occupants from g e tting out by th e simpl e op e ration of a s ingl e 
knob or l e v e r — Em e rg e nce lighting s hall b e provid e d wh e r e 
r e quir e d for gr e at e r s af e t\ in e xiting th e building. 

(h) A manual fir e alarm or signal syst e m shall be install e d in 
eaeh — child — caring — institution — r es id e nc e which — is audibl e 
throughout th e building, k e pt in working ord e r and r e adily wat e r for e v e rv six childr e n, one toilet for e v e ry six childr e n, and 



r e sid e nc e , r e novation of an e xisting building for child caring 
institution purpos es , and r e construction of an e xisting child 
caring institution shall b e submitt e d to and approv e d b\ th e 
counts health d e partment in which th e facility is locat e d r 

.Authorities. 131D-I0.5: 143B-153. 



.0806 BATH AND TOILET FACILITIES 

(a) Th e re shall be not less than on e lavatory with hot and cold 



id e ntified b\ th e staff and th e childr e n. 



on e tub or s how e r for e v e rx' e ight childr e n. In addition th e r e 



(i) Automatic smok e d e t e ctors s hall be in s tall e d in e ach child shall b e a minimum of on e tub and one toi l et and on e lavatory in 



caring institution r es id e nc e in accordance with the North 
Carolina Uniform R e siden tial B u ilding Cod e Volum e 1 B. 
S e ction 35 i n which up to fiv e childr e n r e sid e and in accordanc e 



e ach building in which childr e n liv e . 

(b) Th e r e shall b e se parat e toil e t and bathing faciliti e s for staff 
vsho liv e in th e child car e r es id e nc e s. 



454 



NORTH CAROLINA REGISTER 



September I, 1998 



13:5 



PROPOSED RULES 



Authorit}- G.S. 13JD-10.5: 143B-153. R e sourc e s, division of social se rvic es , prior to th e e xpiration of 

th e curr e nt lic e n se . 

.0807 SLEEPING FACILITIES (c) Full License. A full lic e ns e to op e rate a child caring 

{a) — Each child car e r e sid e nc e d e v e lop e d aft e r th e e ff e ctiv e institution will b e issued for one y e ar wh e n a licens e study 

dat e of th e s e standard s shall provid e in e ach b e droom a indicat e s th e institution compli e s with th e minimum standards 

minimum of 8 squar e f ee t of floor spac e for e ach occupant for child caring institutions. 

exc e pt that a b e droom for one occupant shall provid e a minimum (d) Provi s ional Lic e n se . A provisional lic e nse to operate can 

of 100 s quar e fe e t. b e issu e d for a p e riod of time up to s ix months wh e n a license 

(fe) — In existing r es id e nc es e ach bedroom shall provid e a study indicat e s th e institution n ee ds additional tim e to comply 

minimum of 60 square fe e t of floor space for e ach occupant with particular r e quir e m e nt(s). — A provisional licens e for an 

e xc e pt that a b e droom for on e occupant shall provid e a minimum additional p e riod of tim e to m ee t th e sam e r e quir e m e nt(s) will 



e xc e pt inai a o e oroom lor on e oci 
of 8 square feet of floor spac e . 

(r'\ TvJn rhilH i;hfill ahnr p n h c Hi 



not b e issu e d. 

(c) No child shall shar e a b e droom with a s taff m e mb e r. fe) — Termination of Lic e n se . — A lic e ns e to op e rat e a child 

(d) Each child shall hav e a b e d of his own. not l ess than 30 caring institution will not b e r e n e w e d wh e n th e institution do e s 
inch e s wid e nor short e r than his h e ight. B e d s shall b e at l e ast not comply with the minimum standard s for child caring 
thr ee f ee t apart at th e h e ad, foot and s id e s, and double d e cker institutions aft e r suflTicient time is allowed in the judgm e nt of th e 
b e ds, shall b e at l e ast five feet apart. Each b e d shall be provided staff of th e Departm e nt of Human R e sources for th e institution 
with springs, a mattr es s in good r e pair and adequat e b e d to corr e ct ar e as of op e ration which are b e low s tandard, 
cov e ring. No day bed. convertibl e sofa or oth e r bedding of a fB — R e vocation of Lic e ns e . — A lic e nse to op e rat e may b e 



t e mporary natur e shall be us e d. 

(o) Bedrooms shall be e quipp e d with clos e t and draw e r spac e 
for s torage of clothing and oth e r p e rsonal b e longings. 



r e vok e d if th e child car e institution is in violation of the 
minimum lic e nsur e standards and is malting no effort s to correct 
th e d e fici e ncy. 



Authority G.S. 13ID-10.5: 143B-153. 



AuthormG.S. 131D-10.5: 143B-153. 



.0808 HEAT, LIGHT, AND VENTILATION 

fa) — Heating faciliti e s shall b e provid e d that will k ee p the 
temperatur e in living quart e rs of th e institution within a 
comfortabl e rang e , not low e r than 62 degr e es Fahr e nheit during 
th e day and 55 d e gr ee s Fahr e nheit during th e night. — Sp e cial 
attention s hall b e giv e n to h e ating bathrooms above th e se 
minimum temperatur e s. 



SECTION .1000 - PUBLIC INSTITUTION 
ORGANIZATION AND ADMINISTRATION 

.1001 DEFINITIONS 

(a) A "child caring institution" i s a r e sid e ntial car e facility 
utilizing permanent building locat e d on on e sit e for 10 or mor e 
childr e n who ar e d e p e nd e nt, n e gl e ct e d, abandon e d, d es titut e . 
fb-) — Natural light shall bo availabl e in e v e ry room u se d by orphan e d, d e linqu e nt, or oth e rwis e in need of car e away from 



children and s taff Window ar e a s shall not b e l ess than 110 of 
th e floor ar e a of e ach room. 

(c) Ad e quat e ventilation s hall b e availabl e in e v e rv' room in 
th e institution which i s u se d by childr e n and staff 

Authority G.S. I31D-I0.5: 1438-153. 

.0809 INSPECTIONS 

Th e in s titution s hall r e qu e st and s e cur e insp e ctions at l e ast 
annually from th e local sanitarian and from th e local building 
inspector or fir e in s p e ctor. R e ports of such insp e ctions sha l l be 
submitted to th e D e partm e nt of Human R e sourc e s. 

Authority G.S. 131 D. Art. lA: 1433-153. 

SECTION .0900 - PRIVATE INSTITUTION 
LICENSING INFORMATION 

.0902 LICENSE 

(a) Application for a n e w lic e ns e to operat e a child caring 
institution is mad e to the D e partm e nt of Human R e sources, 
divi s ion of social s e rvices, prior to th e first child b e ing accepted 
for full tim e car e . 

(b) Application for ren e wal of a lic e n se to op e rat e a child 
caring in s titution is mad e to the D e partm e nt of Human 



th e ir own hom e and not h e ld in d e t e ntion. — Th e purpos e of a 
child caring institution is to provid e fo s t e r car e and r e lat e d 
s e rvic e s for childr e n who ar e unabl e to liv e in th e ir own hom e s. 
Exception can b e mad e wh e n no mor e than two group hom e s 
locat e d on on e sit e and lic e ns e d as m ee ting group hom e s for 
childr e n standards ar e operat e d by a county d e partm e nt of social 
s e rvic e s or by a private program lic e ns e d to provid e child car e 
or child p l acem e nt servic e s. 

fb) — The "director" is the person who is in charg e of th e 
facility, developing and supervising its program of car e and 
se rvic e s. 

(c) "Childr e n." in addition to childr e n up to age 1 8 . includ e s 
p e r s ons r e siding in and und e r th e car e of th e institution who ar e 
18 to 21 y e ar s of ag e . — Childr e n of s taff members ar e not 
includ e d. 



(d) Public In s titution. A public institution is an institution, as 
w e ll as th e prop e rty in it. which i s h e ld, us e d or controll e d by 
any unit of gov e rnm e nt, stat e , county or municipal. — Th e s e 
standard s do not apply to stat e institutions for th e m e ntally 
handicapp e d or to s tat e institutions for the det e ntion of juv e nil e s. 

( e ) Privat e In s titution. A privat e institution is an institution 
which i s chart e r e d b\ th e Secr e tary of th e State of North 
Carolina as a private corporation. 



Authorit\G.S 131 D. Art lA: 143B-153. 



13:5 



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September 1, 1998 



455 

BHSBuasa 



PROPOSED RLLES 



.1002 PLRPOSE 

An> unit 0*1 gov e rnment v shi ch operat e s a child caring 



fe-) — Financial accounts of th e institution, x^hich ar e audit e d 
annualK. s hall b e maintain e d in accordanc e with d e signat e d 



institution s hall do s o pur s uant to it s statutorx pow e rs, duti e s. accounting proc e dur e s for th e gov e rnm e ntal unit operating th e 



and authoritN. — Th e pur 



th e public institution shall b e institution. A cop\ of th e annual budg e t and a copx of th e audit 



cl e arK d e tln e d and shall includ e th e geographical ar e a to b e shall b e submitt e d e ach > e ar to th e D e partm e nt of Human 



s e rv e d, th e childr e n who will b e acc e pt e d for car e and th e 
s e r\ ic e s to b e provid e d for these children and th e ir families. 

Aiithorin-G.S. 131 D. An. I A: 143B-153. 

.1004 LOCATION 

The institution shall b e locat e d availabl e to s chools, church es . 



R es ourc es . 

Authority G.S. I31D-10.5: 143B-153. 

.1007 STAFF: GE.NERAL 

Th e institution s hall provid e th e staff and s e rvices n e c e ssarv to 
e nsur e th e prop e r car e and saf e t\ of childr e n in car e of th e 



hospitals, clinic s , mental h e alth s e rvic e s and r e cr e ational in s titution. Staff m e mb e rs who liv e with childr e n in car e of the 



faciliti e s. Th e location shall prov ide safe and ample plav grounds 
for childr e n i n an ar e a conduciv e to th e ir h e alth and well being. 

Authorities. 1 31 D. Art. I A: 143B-153. 

.1005 GOVERNING BODY 

Th e unit of gov e rnm e nt which op e rat e s a child caring 
institution shall do on e of th e following: 






Operate th e institution as a lino d e partm e nt: or 



fa4 



institution or prepar e th e ir food shall hav e a h e alth e xamination 
w ithin at least six months b e for e b e ginning work and biennially 
th e r e aft e r — Such e xaminations shall includ e test s n e c es sarv to 
d e t e rmin e that th e staff m e mb e r is fr ee from communicabl e 
di se as e s and abl e to earn: out as s ign e d duti es . 

Authority G.S. 131D-10.5: 1438-153. 

.1008 THE DIRECTOR 

(a) There shall be a full tim e dir e ctor to sup e rvis e th e program 
of car e and s e n ic e s of an institution lic e ns e d for 20 or mor e 
childr e n, and a dir e ctor at l e ast part tim e for an institution 
lic e nsed for l e ss than 20 childr e n. 

(b) Th e Dir e ctor shall hav e e ducation, training, and e xp e ri e nc e 
that qualifi e s him for planning, administ e ring, and sup e rvising 
a r e sid e ntial child car e program. 

ar e a s s e rv e d bv th e institution vsho r e pr e s e nt th e fe4 — A dir e ctor appoint e d aft e r th e e ff e ctiv e dat e of th e s e 

standard s shall hav e a d e gr ee from an accr e dit e d four v e ar 
coll e ge or universin and shall hav e at l e ast two v e ars of work 



Assign r e spon s ibi l itv for gov e rning the institution to 

an e xisting board: or 

^ Creat e a board of dir e ctor s to gov e rn th e institution: 

(4) Compo s ition of a board cr e at e d to govern the 



m s titution: 



Th e board shall b e mad e up of individuals of various 



occupations and e xp e ri e nc e from the geographical 



(W- 



int e r e sts of both th e constitu e ncv sponsoring th e 
institution and that which it s e rv e s or plans to serve: 
Th e board shall hav e a minimum of fiv e m e mb e rs. 



(^ 



(^ 



e xp e ri e nc e , on e of which was in a sup e rvisor) capacirv. in th e 
M ee tings of th e Board of Dir e ctors. — Eith e r th e full fi e ld of child vs e lfar e s e rvic e s, h e alth s e rvic e s, e ducation, 
board or its e x e cutiv e committ ee (or e quival e nt) shall 
m ee t at l e a s t quart e rlv. — P e rman e nt r e cords s hall b e 
maintain e d of all m ee tings of th e gov e rning board and 
th e e x e cutive committ ee : 



-Th^ 



: authc 



gov e rning autnorirv for th e institution s hall adopt 
r e gulations for th e op e ration of th e institution and 
shall e nsure that the institution complies with those 
r e gulation s . 



Authority G.S. 131D-10.5: 1438-153. 

.1006 FINANCES 

(a) Th e institution shall hav e funds e stablish e d to m e et th e 
costs of carrving out its defin e d purposes and prov iding proper 
car e and s e rvic e s for th e tvp e and numb e r of childr e n acc e pt e d, 
(b't A budget shall b e approv e d bv th e gov e rning board prior 
to the b e ginning of e ach fiscal v e ar showing sourc es and 
amounts of incom e and prov iding for: 

f+4 salari e s for required number of staff. 

(5-) m ee ting the direct cost s of car e for th e numb e r and 

tvp e of childr e n acc e pt e d. 

(5^ maint e nanc e of th e phv s ical plant. 

f4^) m ee ting th e co s t of anv propos e d e xpansion or 

r e plac e m e nt. 



p s vchologv. s ocial se rvic e s, r e ligious e ducation, or oth e r alli e d 
prof es sion. 

fd-) — Th e Dir e ctor shall b e in charg e of th e op e ration of th e 
institution, prov iding at l e ast quart e rlv r e ports for th e gov e ming 
authoritv on all phas es of its op e ration. The Dir e ctor s hall hav e 
th e following r e sponsibiliti e s: 

f-H Int e rpr e ting e stablish e d standards of child car e and 

initiating and carrving out a sound program in 
accordanc e vsith th ese standards: 

(^-) Pr e paring th e institution's budg e t in collaboration 

with — thos e — p e rsons — w4#i — d e signat e d — fiscal 
r e sponsibiliti e s: The budg e t shall b e pr e s e nt e d to 
th e board for approv ah 

(5^ Ensuring that all purcha ses ar e mad e in accordanc e 

with procur e m e nt polici e s of th e gov e rnm e ntal unit: 
The Director shall s e cur e approval for items not 
authoriz e d in th e budg e t: 

{4) Emploving and discharging all m e mb e rs of th e 

institution's staff within th e p e rsonnel polici es of th e 
gov e rnm e ntal unit: 

(-?-) Holding staff m ee tings at r e gular int e rvals and 

discussing plans and polici e s with th e s taff: 
Providing and promoting a program of e ducation for 



(4i- 



th e continu e d training and d e v e lopm e nt of the staff: 



456 



\ORTH CAROLISA REGISTER 



September L 1998 



13:5 



PROPOSED RULES 



T)w — D i rector — shaH — be — r es pon s ibl e — fer — the 
eff e ctiv e n ess and effici e ncv of th e staff: 



(d) Child car e staff shall b e no young e r than 1 8 y e ar s of ag e . 

( e ) Each child car e work e r shall b e provid e d ins e rvic e training 



^ Establi s hing and maintaining coop e rativ e working and qualified, competent sup e rvi s ion in th e ar e as of hom e 



r e lationships with oth e r social agencies in the 
community — and — int e rpr e ting — the — institution's 
program: 



(«^ 



manag e m e nt, child r e aring, family life education, s ound h e alth 
practic es and h e alth maint e nanc e , and food pr e paration and 
nutrition wh e n m e als ar e pr e par e d in th e living units by th e child 
car e workers. 



-The — Dir e ctor — shaH — have — r e spon s ibility' — fer 
administration. — social — s e rvic es . — the — child — eare 
program and th e physical plant of the institution with Authorit}' G.S. 131D-I0.5: 143B-153. 



d e l e gation of actual work in th e s e ar e as as is 
appropriat e : 

(9) Th e Dir e ctor shall d e l e gate authority to a qualifi e d 

staff m e mb e r during his abs e nc e from th e in s titution: availabl e to assur e that th e op e ration and maint e nanc e of the 



.1012 MAINTENANCE STAFF 

There shall be a sufficient numb e r of maint e nanc e 



itaff 



{W) Th e Dir e ctor shall b e r e spon s ibl e for making all 

e mploy ee s awar e of th e Child Abus e and N e gl e ct 
R e porting — taw — an^ — establishing — a — r e porting 
proc e dur e . 

Authority G.S. 131D-10.5: 143B-153. 

.1009 SUPERVISORY STAFF/PROFESSIONAL 
SERVICES 

(a) The D e partm e ntal h e ads, unit dir e ctors, sup e rvisors, and 
other manag e m e nt staff shall be qualifi e d by e ducation, training, 
and e xp e ri e nc e for th e particular job r es pon s ibiliti e s to which 
they are assign e d. 

(¥) — Th e institution shall hav e availabl e thos e prof e ssional 
s e rvic e s which assur e appropriat e car e for childr e n. — Such 
prof e ssional s e rvic e s shall includ e thos e of doctors and d e ntists, 
nurs e s, social work e rs, psychologists, psychiatrists, di e titians, 
h e alth e ducators and t e ach e rs. 

Authorit\' G.S. 131D-10.5: I43B-153. 



institution shall not b e d e p e nd e nt upon th e work of th e childr e n 
in car e . 

.Authorities. 131D. Art. I A: 143B-153. 

.1013 PERSONNEL POLICIES 

(a) Th e in s titution shall hav e writt e n p e rsonn e l polici e s and 
shall adh e r e to th e polici e s: 



<44- 



Job D e scription s . Th e r e s hall b e a curr e nt writt e n 



job d e scription for e ach position which includ es 

qualification s for th e position, th e duti es of th e 

position, and sp e cifi es to whom the employee i s 

r e sponsibl e . 

L e av e . — Th e in s titution shall hav e a writt e n policy 



(^ 



which — provid e s — r e sid e nt — s taff — w+th — dir e ct 
r e sponsibility for childr e n a minimum of s ix 2 4 hour 
days off duty e ach month. — Th e y shall hav e s om e 
fr ee tim e off dutv e ach dav. 



{^ Dismissal. Th e r e shall b e a policy conc e rning th e 

discharg e of e mploy ee s which includ e s a gri e vanc e 
proc e dur e , 
(b) Living quart e r s shall bo provid e d for all staff whos e job 
r e spon s ibiliti es r e quir e th e m to liv e within th e institution. 

.Authority G.S 131D-I0.5: 143B-153. 

SECTION .1100 - PUBLIC INSTITUTION SOCIAL 
SERVICES 

.1101 STAFF 

Th e institution shall hav e on e or mor e qualifi e d p e rsons to 

provid e admission, r e sid e ntial, and discharg e se rvices to childr e n 

and th e ir famili e s. To b e qualifi e d, staff e mploy e d to provid e 

{b) — Th e ratio of child car e staff who ar e e mploy e d by th e social s e rvic e s aft e r th e e ff e ctiv e dat e of th es e standards shall 

institution to provide car e and supervision for childr e n s hall b e hav e a d e gree in a human s e rvic e fi e ld from an accredit e d four 

on e for e v e ry t e n childr e n six years of ag e and old e r and on e for y e ar college or univ e rsity. — Th e y s hall b e familiar with 

community resourc e s for childr e n and th ei r famili e s in addition 
to th e institution's s e rvic e s. 



.1010 CLERICAL STAFF 

The — institution — shaH — have — cl e rical — s e rvic e s — 1« — keep 
corr e spond e nc e , r e cords, bookke e ping and fil e s curr e nt and in 
good ord e r. 

.Authority G.S. 131D. Art. I A: I43B-153. 

.1011 CHILD CARE STAFF 

(a) Th e r e shall b e at least on e child car e work e r as s ign e d for 
dir e ct car e and supervision to e ach living unit or group of 
childr e n at all tim e s. It is r e comm e nd e d that both mal e s and 
f e mal e s b e e mploy e d as child car e staff 



e v e ry e ight childr e n younger than s ix y e ars of ag e includ e d in 
th e living unit. If a living unit ha s all ago childr e n young e r than 
six years of ag e th e r e shall be one child car e work e r for fiv e 
children. Staff includ e d in th e ratio are child car e work e rs and 
sup e rvisors of child car e . R e li e f staff ar e not includ e d in th e 
^ ratio. 



.Authority G.S 131D-10.5: I43B-153. 
.1102 ADMISSION SERVICES 



(c) Each m e mber of th e child car e staff shall b e se l e ct e d on (a) Admi ss ion polici e s shall be cl e arly d e fin e d in writing and 



th e basis of his knowledge, exp e ri e nc e , and comp e t e nce required 
in caring for childr e n. 



availabl e to p e rson s or ag e ncies making inquiri e s. Admission 
polici e s shall b e car e fully review e d from tim e to tim e and 



13:5 



NORTH CAROLINA REGISTER 



September 1, 199H 



457 



PROPOSED RULES 



chang e d a \ , n ee d;, and conditionii in th e communitx chang e , 
(b) Admission s e rv i c es shall b e in accordanc e with th e stat e d 



.1103 RESIDENTIAL SERVICES 

f*) — Each ch ild in care shall hav e a qualifi e d staff p e rson 



polic ie s of th e institution. Admissions sha l l b e limit e d to thos e r es pon s ibl e for assisting him in making th e best us e of his stay 
childr e n who n ee d car e apart from th e ir fam i li es and for vshom in th e institution. — Thi s s hall includ e opportuniti e s to talk 
th e in s titution i s qua l ifi e d by s taff, program, faciliti e s, and privat e ly about his e xp e ri e nc e s l iving in the institution and to 

express gri e vance. Prof e s s ional s e r\'ices shall b e mad e availabl e 



se rvic e s to giv e appropriat e car e . 

fe) — Staff r e sponsibility for d e cision s on admi ss ion s hall b e for childr e n who n ee d h e lp in r e solving personal or famih' 
cl e arK e stab l ish e d. 



probl e ms 



(d) D e cision s on admissions shall b e bas e d upon a s tudy of th e (b) Arrang e m e nts s hall b e mad e for staff to talk with par e nts, 

total s ituation of th e child and hi s particular n ee ds. Th e study r e lativ e s. — er — r e pr e s e ntativ e s — ef — ag e nci e s — having — l e gal 



s hall b e mad e prior to admis s ion and shall — includ e all r e sponsibility about an individual child's car e and adjustment in 
information which will e nabl e a car e ful analysis of th e 



th e in s titution 
Mi 



app l ication to d e termine if th e institution's program of car e is 
appropriat e for th e chi l d. 

( e ) Wh e n par e nts or oth e r r e lativ e s with legal r e sponsibility 
for a child appK for th e child's admi s sion, th e institution shall 
ascertain what community r e sourc es ar e availabl e to k ee p th e 
child in hi s own hom e , such as Financial assistanc e , hom e mak e r 
s e rvic e s, day car e se r\'ic e s. and oth e r s upportiv e s e r\'ices. 
County d e partm e nts of social se rvic es , wh e r e r e qu es t e d, can visiting hom e s for childr e n, th e int e r e sts, n ee ds, and welfare of 
assist famili e s in e valuating community r e sourc e s availabl e to e ach child s hall b e consid e r e d in arranging th e s e visits. The 



fe-) — Visiting polici e s for th e in s titution shall b e fl e xible to 
al l ow par e nts, r e lativ e s, and fri e nds to vi s it with childr e n at least 
twice a month. 

(4) — No child s hall b e allow e d to visit with anyon e for 
w ee k e nds, holidays, and vacations without th e cons e nt of th e 
p e rson or ag e ncy having l e gal r e sponsibility for him. 

( e ) If th e institution u se s privat e famili es in th e community as 



JSSIS 

th e m 



institutions shall ass e ss e ach privat e family to b e us e d as a 
{f) — A public institution shall not acc e pt l e gal custody of visiting hom e to det e rmin e if th e family can provid e prop e r car e 



and sup e rvi s ion for childr e n, 
(f) A r e vi e v\ shall b e mad e at l e ast onc e a v e ar of e ach child 



childr e n. Childr e n shall b e acc e pt e d by writt e n application 

sign e d by th e p e rson or r e pr ese ntativ e of th e ag e ncy having l e gal 

authority ' to plac e th e children. — Writt e n agr ee m e nts shall b e in car e to r e ass e ss his n ee ds. Th e r e vi e w is to identify what typ e 

mad e s e tting forth th e r es ponsibiliti e s of th e institution and of of car e and se rvic es ar e n ee d e d b\ th e child, if h e n ee ds 

th e p e rson or ag e ncy having l e gal authority for caring and continu e d car e in th e institution, or if his famih circumstanc e s 

planning for th e child. Provision shall b e mad e for continuing hav e chang e d and h e can b e r e turn e d to his hom e . 



r e lation s hip s b e tw ee n th e in s titution, th e l e galK r e spon s ibl e 



(g) Wh e n a child whos e par e nts plac e d him in th e institution 



p e r s on or ag e ncy, and th e child during th e p e riod of plac e m e nt. no long e r has hi s par e nts availabl e to him du e to th e ir d e ath, or 

(g) Th e provisions of th e North Carolina int e rstat e plac e m e nt 
law s (G.S. 110 50 through 110 57 and 110 57.1 e t. s e q.) shall b e 



incapacity, or abandonm e nt of th e child, th e institution shall 
r e f e r the matter to th e county ' d e partm e nt of social s e r\'ic e s or 
m e t wh e n out of stat e childr e n ar e b e ing con s id e r e d for court havingjurisdiction or to an attom e \ with th e r e qu e st for a 
admission or di s charg e . — North Carolina int e rstat e plac e m e nt l e gal guardian or custodian to be appoint e d for th e child, 
laws r e quir e th e approval of the North Carolina D e partm e nt of (+h) — Wh e n adoption is in th e b es t int e r es t of a child whos e 



Human R es ourc e s prior to plac e m e nt of a child h\ an out of stat e par e nts ar e d e c e a se d or whos e par e nts or oth e r r e lativ e s cannot 
ag e ncs. Corr es pond e nc e r e lative to admission, progr e ss, and provid e a hom e for him. r e f e rral for adoption s e rvic e s shall b e 
discharti e of childr e n in custod\ of out of stat e a^icncies shall bo 



rout e d through th e North Carolina D e partm e nt of Human 
R e sourc es , divi s ion of social s e rvic e s, as outlin e d in its 
op e rational manual. 

fh4 — No child shall b e acc e pt e d in an institution without a 
m e dical e xamination and a stat e m e nt sign e d by a lic e n se d 
m e dical provid e r s p e cify ing th e child's curr e nt m e dical condition 
and medications prescribed and indicating th e pres e nc e of an\ 



discu sse d w ith th e p e rson or ag e nc\ r e pr e s e ntativ e having l e gal 
r e sponsibility for th e child. 

Aiirhorln-G.S. 131D-J0.1: 131D-10.5: 143B-I53. 

.1104 DISCHARGE SERVICES 

(a) Staff r e spon s ibilitv for d e cision s on discharging childr e n 
: le arlv e stablish e d. Childr e n und e r 1 8 v e ars of ag e s hall 



communicabl e di se a se or m e dical condition which may po se a b e di s charg e d to th e person or ag e nc\' having l e gal custody of 



signitlcant risk of tran s mission in th e facilitv. 



th e childr e n. Insofar a s possibl e , th e rel e as e of e ach child shall 



{¥t — In th e e v e nt of e m e rg e ncy admissions, th e r e quir e d b e p l ann e d with him and with th e p e rson or repr e s e ntativ e of th e 



admission proc e dur e s shall b e compl e t e d within two w ee ks 
following admi ss ion. If mor e than fiv e p e rc e nt of an institution's 



agency having l e gal r e sponsibilitv for him allowing tim e for 
arrang e m e nts to b e mad e for th e child' s car e . In all cas e s, th e 
population ar e admitt e d on an e m e rg e ncy basis, in any 12 month d e ci s ion to discharg e a child and th e child' s d e cision to leave th e 
p e riod, th e in s titution shall provid e an id e ntifiabl e program for in s titution s hall b e made known to th e p e rson or ag e ncy having 
th e provision of e m e rg e ncy car e in a living un i t se parat e from l e gal r e spon s ibilits for th e child and opportunitv provid e d for 
oth e r chi l dr e n in r e sid e nc e . discussion of this action. 

(b) Childr e n shall not b e r e l e a se d and admitt e d to th e car e of 
Aiifhorin- G.S. 13ID-10.5: 143B-I53. anoth e r in s titution or tr e atm e nt facility without th e knowl e dg e 

and cons e nt of th e p e rson or ag e ncv having legal authority for 



458 



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13:5 



PROPOSED RULES 



placing th e child. 

Authority G.S. I31D-10.5: N3B-J53. 

.1105 RECORDS 

(a) Th e institution s hall maintain cas e r e cords for th e purpos e 
efi 

f4-) prot e cting th e l e gal rights of th e child, his parents 

and l e gal custodian, and th e institution: 

(3) docum e nting th e kinds of s e rvic e s r e nd e r e d to a 

child and his family; and 

(^) providing a sourc e of information about individual 

childr e n, as w e ll a s information for th e in s titution in 
planning its program of care and se rvic e s. 

(b) Cas e r e cord s shall include the following information for 
e ach child: 

fl-) compl e t e d application form sign e d by th e p e rson or 

agency having legal authority to plac e the child: 

(3) a pre admission study of th e child and his family 

situation, including an e xplanation of custody and 

legal r e sponsibility for th e child as indicat e d by 

par e ntal — stat e m e nts. — court — ord e rs. — er — ag e ncy 

agr ee m e nts: 

a v e rification of birthdat e : 

m e dical — cons e nt — s ign e d 






-by — the — p e r s on — er 
r e pr e s e ntativ e of th e ag e ncy having l e gal custody of 
th e child; 

(5^ agr ee m e nts indicating th e r e sponsibiliti e s of th e 

p e rson or ag e ncy having l e gal r e sponsibility for th e 
child and th e institution in planning and caring for 
th e child: an e xplanation of why th e child n ee ds th e 
institution's car e and what is going to b e provided 
for th e child: 

(6) agr ee m e nts and cons e nts for vi s its outsid e th e 

institution: 

f?^ r e ports of th e pre admission m e dical e xaminations. 

including immunizations, and r e port s on all m e dical, 
d e ntal or psychological se rvic es provid e d whil e th e 
child is in care: 

(*) a written summar\' pr e par e d at l e a s t se miannually of 

the revi e w of th e child's n ee d s , hi s progr es s or lack 
of progress — m — car e . — chang e s — m — his — family 
circumstanc e s, and th e obj e ctiv e s for th e child's 

(9) a — discharge — summar\' — indicating — date — aftd 

circumstances of discharg e and plan for car e in th e 
community, 
(c) Th e institution shall maintain a r e cord of e ach r e qu e st for 
admission r e c e iv e d during a curr e nt y e ar, th e action tolc e n on th e 
r e qu e st, and th e disposition made. 

Authorities. I31D-10.5; 143B-153. 

.1106 REPORTS 

Th e institution shall submit an annual r e port to th e D e partm e nt 
of Human Resourc es on Form DSS 1 8 13. annual r e port to th e 
D e partm e nt of Human Resourc e s, division of social services. 



Authority^ G.S. 131 D. Art. lA: N3B-I53. 

SECTION .1200 - PUBLIC INSTITUTION CHILD 
CARE AND DEVELOPMENT 

.1201 SOCIAL ASPECTS OF CARE 

(a) Th e Child as an Individual 

fH Each child shall b e considered an individual 

p e r s onality. He — shaH — be — giv e n — appropriat e 

opportuniti e s for grov v lh a s a uniqu e individual, for 
l e arning on his own as w e ll as in a group, for doing 
things by himself, for himself, as well as with and 
for oth e rs. 

{3^ Efforts shall b e mad e to giv e e ach child s ufficient 

individual att e ntion and aff e ction to compensate in 
som e d e gr ee for th e r e gim e ntation of group living. 

(5^ Each child shall hav e th e opportunity to form 

con s tructiv e r e lation s hips with staff of both se x e s. 

f4) Each child s hall b e allow e d to e xp e ri e nc e own e rship 

and hav e hi s own plac e to k ee p his pos se s s ions. 

(#) Each child shall hav e p e rsonal clothing and hav e his 

own plac e to k ee p hi s clothing. H e s hall b e allow e d 
to tak e part in se l e cting hi s clothing according to hi s 
ag e and ability to do s o. — Wh e n h e l e av es th e 
in s titution, h e shall b e allow e d to tak e hi s clothing 
with him. 

(6) Each child shall b e giv e n th e opportunity of l e arning 

th e valu e and u se of mon e y through e arning, 
s p e nding, giving, and s aving. Each child shall hav e 
an allowanc e appropriat e to hi s ag e to sp e nd as h e 
wish e s. 

(b) Th e Child and His Family 

fH ^Fhe — institution — shaW — provid e — and — e ncourag e 

opportuniti e s for e ach child to maintain contact and 
visit with par e nts, siblings, and r e lativ e s both at th e 
institution and away from the institution insofar as 
circumstances permit, and thes e contacts and visits 
ar e approv e d by th e p e r s on or ag e ncy having l e gal 
r es pon s ibility for th e child wh e n oth e r than th e 
natural par e nts. 

(3^ No humiliating r e marks about a child's par e nts. 

r e lativ es , or guardian shall bo made to th e child or to 
oth e r childr e n in th e institution. 

(c) Th e Childand th e Institution. Each child shall b e assign e d 
to th e car e of a child car e work e r who shall be r e sponsibl e for 
assuring his daily car e . Each child shall b e giv e n the opportunit>' 
to discuss any p e rsonal conc e rns in confid e nce with his child 
car e work e r. 

(d) Th e Child and th e Community 

{4^ Th e institution shall mak e whatev e r e fforts ar e 

possibl e toward h e lping the childr e n hav e normal 
contacts in th e community in which th e institution i s 
locat e d such as participation in school functions. 



r e cr e ational 



faciliti es 



charact e r building 



(3f- 



organizations. church youth groups, and part tim e 
paid or volunt ee r job s . 

Childr e n s hall b e encourag e d to form friendship s 
with childr e n outsid e th e institution, to visit th e ir 



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459 



PROPOSED RULES 



fr ie nd ^^ in th e communit> and hav e th e ir fri e nd s \ i s it 
th e m in th e institution. Childr e n sha l l hos e acc e ss to 
t e l e phon e s to pro\id e th e m with opportunity to 
maintain contact with fri e nds and famil\ m e mb e r s , 
( e ) Disciplin e 



Authority G.S. 131D-IU.5: 143B-153. 

.1202 RECREATION 

fa-) — Th e institution shall provid e individual and group 
r e cr e ational opportuniti e s appropriat e to th e ag e . interests, and 



fH Th e institution shall hav e cl e arly d e fin e d, writt e n. n ee ds of e ach child. — Suitabl e spac e and compet e nt adult 

reasonabl e di s ciplinary polici es which ar e fair to dir e ction shall be provid e d for both indoor and outdoor 



r e cr e ational activiti e s, 
(b) Th e recreational program s hall provid e opportuniti e s for 
and assume r e spon s ibility for his own acts. Thes e bov s and girls to plav tog e th e r a s w e ll as s e paratelv. For old e r 



childr e n and staff. Th e s e polici e s s hall b e dir e ct e d 
at h e lping e ach child d e v e lop his own s e lf control 



Of- 



polici e s s hall includ e m e asur e s to prot e ct children 

from abu se . 

Administration of disciplin e shall b e an adult 



r es ponsibilit). No child or group of childr e n shall 
b e allow e d to puni s h anoth e r child. 



children, a dating policy s hall b e e stablish e d which will allow 
th e m opportuniti e s for d e v e loping social relation s hip s with 
oth e r s of th e ir own ag e group in th e institution and in th e 
communitv. 



f3^ Requests mad e of childr e n and standards s e t for Authority G.S. 131D-10.5: I43B-153. 

th e ir b e havior s hall b e r e asonable and within their 

abilitv to achi e v e. 
f4-) Childr e n shall not b e s ubj e ct e d to cru e l, se v e r e or 

e xc e ssiv e punishm e nt including, but not limit e d to. 

phv s ical abu se , verbal abus e , lock e d confinement. 

d e privation of food, of mail, and of familv visits and 

contact s , 
(f) Work Assignm e nts 



.1203 EDUCATION 

(a) Th e institution shall s ee that e ach child of school ag e is 
provid e d an education in a public school or nonpublic school 
which i s op e rat e d in accordanc e with th e public school laws or 
with th e nonpublic school laws of North Carolina. 

(b) If a school is maintain e d and op e rat e d by th e in s titution, 
or an e ducation program is op e rat e d by th e institution which 



f4^ Work assignm e nts for childr e n in th e institution childr e n att e nd in li e u of att e nding schools off campus, th e 



Rf- 



{i¥ 



s hall b e plann e d for a child to hav e m e aningful work 
e xp e ri e nc e s and to d e v e lop good work habits and a 
s e ns e of r e sponsibility. 

Work as s ignm e nts s hall b e mad e according to th e 

Childr e n shall b e 
-en — theif — work 



ag e s and abiliti e s of childr e n, 
provided — adyk — sup e rvision 



a s signm e nts. 

Work a s signm e nts s hall not int e rf e r e with school. 



r e cr e ation, studv periods, adequat e s l ee p, community 
contacts and visits v\ ith familv. 



fW- 



It i s r e comm e nd e d that th e North Carolina Child 



Labor Law concerning ag e . hours of labor, and 
prohibit e d hazardou s occupation s b e compli e d with 
in work a s signm e nts for childr e n. 
{^ Childr e n shall not b e s ub s titut e s for e mploy e d staff. 



institution shall compK vsith N. C. G e n e ral Statutes governing 
nonpublic school s . 

fe^ — Faciliti es shall b e provid e d by th e institution for hom e 
s tudv and for r e f e r e nc e books. — Provisions shall b e mad e for 
r e m e dial assistance as indicat e d bv th e n ee ds of th e childr e n. 



Authority G.S. 131D-10.5: 143B-153. 

.1204 RELIGIOUS TRAINING 

(a) Each child shall hav e opportuniti e s for r e ligious e ducation 
and to att e nd religious services. 

fb^ — Each institution s hall hav e cl e arK d e fin e d polici es 
r e garding r e ligious training and practic e s for th e information of 
thos e considering plac e ment of childr e n in th e institution. 



t^ 



Th e y — shaH — net — be — r e quir e d — te — earn — etH Authority G.S. 1 31 D-10.5: 143B-1 53. 

r es ponsibiliti e s of staff. 

An in s titution shall not r e quire a child to work for 



the purpos e of paving th e institution for his car e , 
(g) Exploitation 

{\j No child shall b e us e d in anv' wav- to solicit funds. 

N e ith e r shall he b e id e ntified in conn e ction with 
publicirv for th e institution in an\ wax which will 
bring him or his familv e mbarrassm e nt. — Writt e n 
p e rmis s ion shall b e obtain e d from the p e rson or 
ag e ncv having l e gal r e sponsibility for e ach child 
b e for e pictur e s or anv other mean s of id e ntifying 
childr e n are used in publicirv or public r e lation s 
e fforts of th e institution. 

(r3^ No child shall b e forc e d to acloiowl e dg e in public 

hi s d e p e nd e ncy on th e institution or his gratitude to 



.1205 MEDICAL PROGRAM 

M e dical Program. — The institution shall hav e a plann e d 
program of m e dical car e which s hall b e impl e m e nt e d and includ e 
each child in car e : 

f-H Admi ss ion R e quir e m e nt. Each child shall hav e had a 

m e dical — e xamination — prior — te — admission. The 

e xamination shall b e r e port e d in writing and sp e cit\ 
any condition or d e f e ct th e child might have and anv 
m e dications pr e scribed. 

f2^ M e dical Car e 

fa^ Arrang e m e nts s hall bo mad e with on e or mor e 

lic e n se d m e dical phv s icians or m e dical clinics for 
the m e dical car e of th e childr e n. 

fb-) Each child shall hav e a physical e xamination at l e ast 

once a vear and mor e often as needed. A child shall 
not be allowed to participat e in activ iti e s injuriou s to 



46(1 



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13:5 



PROPOSED RULES 



(€)- 



(a)- 



<^ 



his h e alth. Any illn es s, dis e ase or d e f e ct of a child e xamination and tr e atment. 

shall b e id e ntifi e d and tr e at e d promptly through 

prop e r m e dical car e . Childr e n s hall hav e p s ychiatric Authority G.S. 131D. Art. lA: 143B-153. 

or psychological e xamination or both wh e n indicat e d 

and treatm e nt when indicat e d. 

Th e child care staff shall b e in s truct e d as to what 



.1207 ROUTINE HEALTH CARE AND PERSONAL 
HYGIENE 

m e dical care may b e giv e n by them without sp e cific (a) Childr e n shall b e taught and h e lp e d to d e v e lop good h e alth 

orders from a lic e ns e d m e dical physician. — Th e y car e . Each child s hall hav e e nough sl ee p for his ag e at r e gular 



sha l l b e instruct e d as to how and wh e n to obtain 
furth e r care and how to handl e e m e rg e nci e s. 



and r e asonabl e hours and und e r conditions conducive to r es t, 
(b) Children shall receiv e training in all asp e cts of p e rsonal 



(^ Ho s pital Care. Arrang e m e nt s shall b e mad e with a hygi e n e . They shall b e taught and h e lp e d to k ee p th e ms e lv e s 



ho s pital for th e admi s sion of children from th e 
institution in th e e v e nt of s e rious illness or e m e rg e ncy. 

(4) First Aid. At l e ast on e m e mber of th e child car e staff 

on duty at any giv e n tim e shall hav e tak e n a cours e in 
first aid giv e n by a qualified instructor and b e abl e to 
administ e r fir s t aid. First aid kits shall b e availabl e . 

{&^ Hom e H e alth Car e 



Each m e mber of th e child car e staff shall b e abl e to 
recogniz e common symptom s of illn e ss e s and 
disturbanc e s in childr e n and to not e any d e f e ct s . 
Th e child car e staff s hall b e al e rt to any inf e ctiou s 
condition of th e childr e n and shall tak e prop e r 
pr e cautions to pr e v e nt th e s pr e ad of s uch condition. 



cl e an. 

(c) Each child shall hav e his own clearly id e ntifi e d toothbrush, 
comb, tow e l and wash cloth and his own s e parate place for 
k ee ping th e s e p e rsonal articl e s. Tow e ls, fac e cloths, and bod 
lin e ns shall b e chang e d as fr e qu e ntly as n e c e s s ary to bo clean. 

Authority G.S. 131D, Art. I A; 143B-153. 

.1208 NUTRITION 

fa^ — Nutritiou s , food s shall b e provid e d in th e vari e ty and 
amounts n e c es sary to meet the National R e s e arch Council's 
recommend e d daily di e tary allowanc e s. Sp e cial di e ts shall b e 
planned to moot any modifi e d food n ee d s of individual childr e n. 



(b) Th e child car e staff shall b e abl e to provid e hom e (b) Nourishing snacks shall b e provid e d and may b e part of 

nursing car e . A st e ril e clinical th e rmom e t e r shall b e th e daily food n ee d s , but th e y s hall not r e plac e r e gular m e als. 



k e pt availabl e for u se . Arrang e m e nt s s hall b e mad e Snacks ar e to b e r e cord e d on th e r e gular m e nu. R e comm e nd e d 
for isolation and appropriat e att e ndant car e of a 
child with a communicabl e dis e as e . 



M e dicin e s shall b e stor e d in a s e parat e cabin e t, 
clos e t or box not acc e ssibl e to childr e n. 



s nack s ar e milk, fr e sh fruits and v e g e tabl e s, ch eese , p e anut 
butt e r, nuts, popcorn, crack e r s , and occasionally, cooki e s. 

(e) Pr e scription drugs shall only b e admini s t e r e d wh e n (c) M e nus shall b e plann e d and writt e n by or in consultation 

approv e d — by — a — lic e ns e d — m e dical — physician. with a r e gist e r e d nutritioni s t or di e titian. Wh e n food s e rvic e s ar e 

not dir e ct e d by a nutritionist or di e titian, who is d e fin e d as a 
graduat e of a school of hom e e conomics or di e t e tics, p e riodic 

Medical Records. Each child shall hav e a p e rsonal consultation with a r e gist e r e d nutritionist or di e titian shall b e 

impl e ment e d. Records of consultations and r e commendations 
shall b e maintain e d by the facility. 

institution, a record of his immunizations, cons e nt for (d) M e nu s shall b e plann e d and written at l e ast one w ee k in 

advance to insur e th e me e ting of nutritional needs and to give th e 
ba s i s for purchasing to meet the s e noods. 

( e ) Childr e n and s taff m e mb e r s who e at with th e m s hall b e 
s e rv e d th e s am e food e xc e pt for t e a and coff ee , unless 
diff e r e nc es in ag e or s p e cial di e tary n ee ds ar e factors. 

Authority G.S. 131D-W.5: 143B-153. 

SECTION .1300 - PUBLIC INSTITUTION 
BUILDINGS: EQUIPMENT AND SAFETY 



m e dical record which shall includ e th e r e port of th e 
physician who e xamin e d him prior to admission to th e 



medical care signed by th e person or r e pr e s e ntative of 
th e agency having l e gal custody of the child, a record 
of e ach physical e xamination and of m e dical car e 
given while the child is in car e . — Th e latt e r s hall 
include — a — record — of ho s pitalization s . — all e rgi e s, 
significant illn e sse s or accid e nts and tr e atm e nt giv e n. 
Any drug allergies shall be not e d on th e cov e r of th e 
fold e r containing th e m e dical r e cord s . 

Authority' G.S 131D-10.5: 143 B- 1 53. 



.1206 DENTAL PROGRAM 

Th e in s titution shall hav e a plann e d program of d e ntal car e and 
d e ntal h e alth which shall be followed for e ach child in car e : 



W- 



» 



(3)- 



Routin e Care and Tr e atm e nt 



.1301 CONSTRUCTION 

(a) Construction plans for n e w. r e con s truct e d or renovat e d 
buildings shall b e compatibl e with th e child car e function of th e 
in s titution and its program n ee d s . A child caring institution shall 



(a) Arrang e m e nts shall bo mad e with on e or mor e not off e r in th e s am e building two different typ e s of occupancy 

lic e ns e d d e ntists for the dental car e of th e childr e n. or program s of car e . 
(b) Each child shall hav e a dental e xamination at l e ast (b) All local and s tat e building cod e s and zoning r e gulations 



onc e a y e ar and tr e atm e nt as indicated. 
Dental R e cords. Includ e d in a child's m e dical record 
sbaH — be — a — d e ntal — r e cord — indicating — dates — ef 



s hall b e compli e d with in th e construction of a new child caring 
institution, in th e conv e rsion of an exist i ng building for child 
caring in s titution purposes, and in the r e mod e ling of an existing 



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461 



PROPOSED RULES 



ch il d caring institution. 

AuihirliyG.S. I3ID-I0.5: I43B-I53. 

.1302 REQUIREMENTS FOR APPROVAL 

(a) Pr e liminaPv' and final construction plan s for all n e w 



(d) Fir e drill s shall b e hold p e riodically for both childr e n and 
staff, at l e a s t quart e rly. 



( e ) Th e s taff and children r e siding in an institution shall be 
train e d in prop e rly r e porting a fir e , in e xtinguishing a small fire, 
and in es caping from a fire. 

(0 For e v e ry 2.500 squar e f ee t of floor ar e a and for e ach 



building s and of all conv e rsions shall b e s ubmitt e d to and floor, th e r e shall be at least on e fire e xtinguish e r. — F4fe 

approv e d by th e D e partm e nt of H um an R es ourc e s, division of e xtingu i sh e rs shall b e provided in accordance with th e standards 

facility se rvic es , con s truction section prior to b e ginning of th e National Fire Prot e ction Association standard numb e r 10. 

con s truction. Four s e ts of construction plan s and sp e cifications Th e y shall be inspect e d r e gularly and k e pt charg e d and fill e d at 



shall b e forward e d to th e D e partm e nt of Human R e sourc e s, 
division of facilitv se rvic e s, con s truction se ction for distribution 



all times in accordanc e with National Fire Prot e ction Association 
standard numb e r 10. 
to and revi e w by th e Division of facility s e rvic es , th e Division (g) Fir e e xit s , that is. doors, hallways, and stairs, shall b e w e ll 



of Social Services, the Division of h e alth s e rvic es , and th e 
D e partm e nt of Insuranc e , e ngin ee ring division. 

(b) I f a qu e stion aris e s as to wh e th e r an e xi s ting building used occupants from getting out by th e simpl e op e ration of a s ingl e 
for chi l d caring institution purpo ses m ee t s the requirem e nt s of knob or l e v e r. — Em e rg e ncy lighting shall b e provid e d wh e r e 
th e North Carolina Stat e Building Cod e , an int e rpr e tation can b e r e quir e d for gr e at e r s af e ty in e xiting th e building, 
obtain e d by submitting a floor plan of th e building tog e th e r with 
d e tail s of con s truction to th e Department of Human R e sourc e s, 
d i vi s ion — of facility — s e rvic es . — construction — s e ction — or by 
r e qu e sting an on s it e visit by a m e mb e r of th e s taff. 

Authority G.S. ISlD.Art. I A: I43B-153. 

.1303 GENERAL REQUIREMENTS 

All buildings to be used for child caring institution purposes 
s hall m ee t th e r e quir e m e nts of th e North Carolina Stat e Building 
Cod e which is adopt e d by r e f e r e nc e pursuant to G.S. 1 50B 1 4 (c) 



light e d, k e pt cl e ar and r e ady for instant us e . No locks shall be 
in s tall e d on e xit and on room doors which would prevent 



(h) A manual fir e alarm or signal sy s t e m shall b e install e d in 
e ach — child — caring — institution r e sid e nc e which — is — audible 
throughout th e building, k e pt in working ord e r and r e adily 
id e ntifi e d by th e s taff and th e children. 

(i) Automatic smok e d e tectors shall b e install e d in e ach child 
caring institution residenc e in accordanc e with th e North 
Carolina Uniform R e sid e ntial Building Cod e Volum e 1 B. 
S e ction 35 in which up to fiv e children reside and in accordanc e 
with th e North Carolina State Building Cod e . Volum e 1 . S e ction 
720 in which six or mor e childr e n r e sid e . 

(j) All e l e ctrical and h e ating installations 



shall b e approved by 
for the tvp e of occupanc\ for which th e building is to b e us e d: th e local building insp e ction dopartmont and th e e l e ctrical wiring 



in th e building shall conform with th e r e quir e m e nts stat e d in 
Volum e IV of th e North Carolina Stat e Building Code. 



Institutional Occupancy. R e sid e ntial care faciliti e s for 

10 or mor e childr e n who ar e d e p e nd e nt, n e gl e ct e d. 

abandon e d, destitute, orphan e d, d e linqu e nt, and not 

involuntarily d e tain e d shall m ee t applicabl e group I Aitthorit}- G.S. 131D-10.5: 143B-153. 

institutional r e quir e m e nts in Vol. I S e ction 4 09 and 



(Sf- 



Vol. 1 C (handicapp e d requir e m e nts) of th e North 
Carolina Stat e Building Cod e . 
R e sid e ntial Occupancy 



.1305 HEALTH ASPECTS 

{it) — G e n e ral Sanitation. — Prop e r faciliti e s shall b e provid e d 
throughout th e in s titution's building s and pr e mis e s to e nabl e 

(») All r es id e ntial car e faciliti e s k ee ping as many as six complianc e with acc e pt e d sanitation standards. — Th e wat e r 

and le ss than — 10 chi l dr e n who are d e pendent. s upply, s e w e rag e di s posal, solid wast e disposal, food servic e . 

and oth e r faciliti es shall m ee t applicabl e rul e s and r e gulations of 
th e Divi s ion of h e alth s e rvic e s: 

(4^ Institutional Occupancy. — Each building providing 

car e or food s e rvic e to 13 or mor e childr e n shall 
m ee t th e r e quir e m e nts of "Rul e s Gov e rning th e 
Sanitation of Hospitals. Nursing and R es t Hom e s. 
Sanitariums, and Educational and Oth e r In s titutions" 
pr e par e d by th e D e partm e nt of Human R e sourc e s, 
division of h e alth s e rvic e s, s anitary e ngin ee ring 
s e ction. 

(3^ R e sid e ntial Occupancy. — Each building providing 

care or food servic e to no mor e than 12 childr e n 



n e gl e ct e d. abandon e d. d e stitut e . orphan e d. 

d e linqu e nt or childr e n who ar e s e parat e d t e mporarily 
from th e ir parent s shall m e et group A "sp e cial 
occupancy requir e m e nt s " in S e ction 510 of Chapt e r 
V of th e North Carolina Stat e Building Cod e . 

{h) All r e sid e ntial car e faciliti e s k ee ping no mor e than 

fiv e children shall meet the North Carolina Uniform 
R e sid e nt i a l Building Cod e . Mobil e hom es ar e not 
a l low e d for child caring in s titution r e sid e nc es . 

AiilhorliyG.S. 131D-10.5: I43B-153. 

.1304 FIRE SAFETY 

(a) Childr e n and s taff shall b e in s truct e d on fir e pr e v e ntion. 

(b) Car e shall b e e x e rci se d b\ th e staff in a l lowing childr e n to 
us e match es , or to handl e infiammabl e or combustibl e mat e rials. 

fe^ — Fir e e vacuation plan s sha l l b e d e v e lop e d and post e d in 
e ach building. 



shall m ee t the requirem e nts of "R e sid e ntial Care 
Faciliti e s" for not mor e than 12 r e sid e nts pr e par e d 
b\ th e D e partm e nt of Human R e sourc es , division of 
h e alth — se rvic es . — sanitary — engin ee ring — s e ction. 
Acc e ptabl e faciliti es includ e : 
(A) — a — prop e rly — op e rating — dom e stic — di s hwashing 



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machin e , or 
(B) — imm e rsion for at l e ast on e minut e in cl e an hot 



minimum t e mperatures, 
(b) Natural light shall b e availabl e in evor>' room us e d by 



water at a t e mp e rature of at l e ast 170 d e gr ee s childr e n and staff Window ar e as s hall not be les s than 1/10 of 



(€>- 



the floor ar e a of e ach room. 

(c) Ad e quat e v e ntilation shall b e available in e v e r>' room in 
th e institution which is u se d by childr e n and staff. 

Authorises. I31D-10.5: 143B-153. 

.1309 INSPECTIONS 

Th e institution shall r e qu e st and se cur e insp e ctions at lea s t 
residence, r e novation of an existing building for child caring annually from th e local s anitarian and from th e local building 
institution purpose s , and reconstruction of an e xisting child 
caring institution shall b e submitt e d to and approv e d by th e 
county health d e partm e nt in which th e facility i s locat e d. 



fahr e nh e it or hotter, or 

imm e r s ion for at least two minut e s in cl e an wat e r 
to which has b ee n add e d enough ch e mical sanitiz e r 
to provid e at l e ast 50 parts per million of availabl e 
chlorin e or 12.5 parts p e r million of availabl e 
iodin e , 
(b) To assure complianc e with all local and state sanitation 
r e gulations, construction plans for a now child caring institution 



Authority G.S. 131D-10.5: 143B-153. 

.1306 BATH AND TOILET FACILITIES 

(a) Th e r e shall b e not l e s s than one lavatory with hot and cold 
wat e r for e v e rv' s ix childr e n, one toil e t for e v e ry six childr e n, and 
on e tub or show e r for e v e ry e ight childr e n. In addition, th e r e 



insp e ctor or fir e insp e ctor R e ports of such insp e ctions shall b e 
submitt e d to the Department of Human Resource s . 

Authority G.S. 131 D. Art. lA: 143B-153. 

SECTION .1400 - PUBLIC INSTITUTION 
LICENSING INFORMATION 

.1402 LICENSE 

(a) Application for a n e w lic e n se to op e rat e a child caring 



shall b e a minimum of one tub and on e toil e t and on e lavatory in institution i s mad e to th e D e partm e nt of Human R e sourc e s 



e ach building in which childr e n liv e . 

(b) Th e r e s hall bo separate toilet and bathing faciliti e s for staff 
who liv e in the child care residenc e s. 

.Authority G.S 131D-10.5: 1438-153. 

.1307 SLEEPING FACILITIES 



division of social s e r\'ic e s. prior to th e first child b e ing acc e pt e d 
for full tim e car e . 

(b) Application for r e n e wal of a lic e ns e to op e rat e a child 
caring institution is mad e to th e D e partm e nt of Human 
R e sourc e s, division of social s e rvic e s, prior to th e e xpiration of 
th e curr e nt licens e . 

(e) — Full License. — A full lic e ns e to op e rate a child caring 



(a) Each child car e r es id e nc e d e v e loped after th e e ff e ctiv e institution will b e is s u e d for on e y e ar wh e n a license study 
dat e of th ese standards s hall provid e in e ach b e droom a indicat es th e in s titution complies with th e minimum s tandards 



minimum of 8 s quar e f ee t of floor spac e for e ach occupant for child caring in s titution s 



e xc e pt that a b e droom for on e occupant shall provid e a minimum 
of 100 s quar e f ee t. 



(d) Provi s ional Lic e ns e . A provisional lic e ns e to op e rat e can 
b e i ss u e d for a p e riod of tim e up to s ix months wh e n a lic e ns e 



e xc e pt mai a o e oroom lor on e oc( 
of 80 squar e f ee t of floor spac e . 

i-(^ — \]n philrl r. hnll (s hnr ta n h ta Hi 



<%) — In e xisting r e sid e nc es e ach b e droom s hall provid e a study indicat e s th e institution n ee d s additional tim e to comply 
minimum of 60 s quar e f ee t of floor s pac e for e ach occupant with particular r e quir e m e nt(s). — A provi s ional lic e n se for an 
e xc e pt that a b e droom for on e occupant shall provid e a minimum additional p e riod of tim e to m ee t th e sam e r e quir e m e nt( s ) will 

not b e issu e d. 

(c) No child s hall s har e a b e droom with a staff m e mb e r (e^ — T e rmination of Lic e ns e . — A lic e ns e to op e rat e a child 

(d) Each child s hall hav e a b e d of hi s own. not l e ss than 30 caring institution will not b e r e n e w e d wh e n th e institution do es 
inch e s wid e nor short e r than his h e ight. B e ds shall b e at l e ast not comply with the minimum standards for child caring 
three feet apart at th e h e ad. foot, and sid es : and double deck e r institution s aft e r s ufficient tim e is allow e d in th e judgm e nt of th e 
b e ds shall bo at least fiv e f ee t apart. Each b e d shall b e provided s taff of th e D e partment of Human R e sourc e s for th e institution 
with springs, a mattr e ss in good r e pair and ad e quate bed to correct ar e as of operation which ar e b e low standard, 
cov e ring. No day b e d. conv e rtibl e sofa or oth e r bedding of a fft — R e vocation of Licens e . — A lic e nse to op e rat e ma>' b e 

r e vok e d if th e child caring institution i s in violation of th e 
minimum l ic e n s ur e standards and is making no e fforts to corr e ct 
the deficiency. 

Authority G.S. 131D-10.5: 143B-153. 



t e mporary nature shall b e u se d. 

( e ) B e drooms shall b e e quipp e d with clos e t and drawer space 
for storag e of clothing and oth e r p e rsonal b e longings. 

A uthorit\' G.S 131D-10.5: 143B-1 53. 



.1308 HEAT, LIGHT, AND VENTILATION 

fa) — H e ating faciliti e s shall b e provid e d that will k ee p th e 
t e mperatur e in living quart e rs of th e institution within a 
comfortabl e range, not lower than 62 d e gr ees fahr e nh e it during 
th e day and 55 degr ee s fahr e nheit during th e night. — Sp e cial 
att e ntion shall be giv e n to heating bathrooms abov e th e s e 



SUBCHAPTER 41 R - LICENSING STANDARDS: 

RESIDENTIAL CAMPS PROVIDING 

FOSTER CARE FOR CHILDREN 

SECTION .0100 - LICENSING STANDARDS: 
RESIDENTIAL CAMPS PROVIDING 



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PROPOSED RULES 



FOSTER CARE FOR CHILDREN 

.0101 APPLICABILITY 

fa-) — Th e ru le ^ i n th i s Subchapt e r shall apply to all p e rson s 
lic e n se d or seeking l ic e nsur e to a childr e n's camp as d e fin e d in 



e va l uation. — s ch e dul e — planning, — wat e r — s af e t\ — and — crisi s 
int e rv e nt i on. — R e cords of such training will b e k e pt on fi le , 
wh i ch would includ e th e dat e , th e s ubj e ct, mothod of training, 
and th e nam e of th e p e rson(s) who conduct e d th e training. 
fft — A childr e n's camp shall employ personn e l who ar c 



G.S. 13 ID 10.2(5). Th e purpos e of th e s e Rul e s i s to a ss ur e , to r es ponsibl e for sup e rvi s ing th e staff who provid e day by day 
th e ext e nt possibl e , that th e child s e rv e d in th e camp wil l r e c e iv e guidanc e to e ach child to e nsur e th e continu e d training and 



quality car e ; and. to allow th e ma.ximum amount of fl e .xibility for 
individua l programs to e xist with diff e r e nt program d e signs, 
philosophi e s r e garding dealing with changing b e havior, and 
childr e n's popu l ation. 

(b) A full lic e ns e shall b e valid for a period not to e xc ee d 12 
months. 



d e v e lopm e nt of such staff in th e discharge of th e ir assign e d 
duti es . 



fe^ — Persons lic e ns e d to provid e fost e r car e at e ith e r a 
p e irnan e nt camp sit e or in a wild e rn es s s e tting shall admit no 
child l ess than 10 years of ag e and th e duration of an admi s sion 
shall not e xc ee d 12 months. No chi l d s ha l l b e r e admitt e d within 
s ix months of th e dat e of discharg e . 

(d) A camp for childr e n with e ith e r b e havior probl e ms or in 
conflict with th e law is a r e sid e ntial facility that utiliz e s a 
therap e utic camping e nvironm e nt to carry out a pr e v e ntiv e and 
rehabilitativ e proc ess . 

Author in- G.S. 1 31 D- 10.5. 

.0102 ADMINISTRATION AND ORGANIZATION 

fa^ — Childr e n's camps providing fost e r car e at e ith e r a 



(g) Fir s t aid training is r e quir e d for all counseling staff as 
follow s : 

f-H First aid training r e c e iv e d must b e docum e nt e d in the 

files for all group couns e lor s and th e ir sup e rvisors; 

(3-) First aid training mu s t b e conduct e d by a c e rtifi e d 

in s tructor or a lic e ns e d prof e ssional; and 

(^) First aid training must b e curr e nt. — C e rtificat es or 

stat e m e nts of training must be contain e d in th e camp 
files and all fir s t aid training i s to b e updat e d e v e ry 
thr ee y e ars, 
(h) Wat e r s af e tv' activity training i s r e quir e d for all counseling 
s taff a s follow s : 

fH all group counseling staff and their immediat e 

s up e rvi s ors s hall hav e succ e s s fully compl e t e d th e 
5t€ — r e scu e — and — wat e r — s af e tv — cours e . — with 



fea 



p e rman e nt camp sit e or in a wild e rn ess so tting shal l comply with 
the administrativ e and organizational r e quir e m e nts s e t forth in 
lONCAC'llN. 

(b) Th e Dir e ctor of th e childr e n's camp shall b e no young e r 
than 2 1 — y e ar s of ag e . hav e a bach e lor' s degree, from an 
accr e dit e d four y e ar coll e g e or univ e r s ity and s hall hav e at l e ast 
two y e ars of work e xp e rience, on e of w h ich was in a sup e rvi s ory provid e d by th e camp to addr e ss th e n ee ds of th e population 
capacity in th e fi e ld of child w e lfar e s e rvic es , h e alth se rvic e s. se rv e d. The docum e nt shall include a d e scription of th e camp' s 



c e rtification docum e nt e d in th e camp fil e s; and 

(3^ basic r e scu e and water safety training shall b e updat e d 

e v e ry thr ee y e ars. 

.Authority G.S. 1 BID- 10. 5. 

.0103 PROGRAM REQUIREMENTS AND 
SERVICES 

fa) — Th e camp shall hav e a written description of s e rvic e s 



p l an for family involv e m e nt and for th e provision of s e rvic e s. 

making it cl e ar which s e rvic e s ar e provid e d dir e ctly bv the camp 

(c) Couns e lor s s hall b e at l e ast 21 y e ars of ag e and shall be and which ar e provid e d in coop e ration with e ith e r family or 



e ducation, p s ychology, s ocial s e rvic e s, r e ligiou s e ducation or 
oth e r al l i e d prof es sion. 



ar e provid e d in coop e rati 
community r e sourc e s. 

(b) Th e writt e n d e scription of th e camp's plan shall b e utiliz e d 
in providing daily activiti es and structures for m e eting th e 
physical, social, e motional, e ducational and d e v e lopmental needs 
of childr e n in car e . 

(e) — Th e camp s hall d e signat e the staff r e spon s ibl e for 
planning, impl e m e nting, and e valuating its various program 
in s ur e th e h e alth and s af e ty of e ach child in car e . Th e camp activiti e s and functions and it s arrang e m e nts for groupings of 

childr e n in car e . 

(d) Th e camp shall d e signate the staff r e sponsibl e for p e riodic 
assessm e nt of e ach child's progr e s s in car e and for d e t e rmining 



r e quir e d prior to assuming th e position and annual l y th e r e aft e r 
to pr e s e n t a medic al stat e m e nt from a l ic e ns e d m e dical provid e r 
that v e rifi e s no communicabl e dis e as e or sp e cific illness which 
may po se a significant ri s k of transmi s sion in th e Facilits. Th e 
stat e m e nt s hall b e writt e n bas e d upon e xamination not mor e than 
six month s prior to e mploym e nt. 
{4) — Th e childr e n's camps shall provid e s taff n e c e ssary ' to 



shall m ee t th e qualifications outlin e d as follovs's: 

f4^ — th e r e s ha l l b e at l e ast on e couns e ling s taff m e mb e r on 
duK for e v e rv e ight childr e n in r es id e nc e ; and 



f3-) during s l ee ping hours, th e coun se lors s hall b e locat e d wh e n changes n ee d to b e mad e in th e child's plan of car e . 



s o that no child will b e out of calling rang e . 



( e ) Th e camp shall sp e cif, who i s authoriz e d to admit and 



( e ) At l e a s t 15 hours of in s e rvic e training s hall b e provid e d discharg e chi l dr e n. Prior to the admission of a child, th e camp 



annually for all staff working directly with th e children. 



shall s e cur e docum e ntation of the child's l e gal custody and shall 



Training shall b e sp e cific to the assign e d duti e s of staff and bo adm i t th e child only upon writt e n agr ee m e nt signed by th e 



d esi gn e d to improv e work v s ith childr e n in ar e as such as 
b e havior manag e m e nt, communication and r e lationship skills, 
education, probl e m solving, first aid. m e al pr e paration, trip 
planning. — using — communits — r e sourc e s. — goal — s e tting — and 



p e rson or ag e ncy r e pr e s e ntativ e having th e le gal authoritv' to 
plac e a child. 

ff) — Each child shall hav e a m e dical ass e ssm e nt, within 60 
days prior to admission. — indicating th e child's ability to 



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participate in th e activiti es and sp e cifidng th e child' s curr e nt 
m e dical condition and medications pr e scrib e d and indicating th e 
pres e nc e of any communicabl e disease or m e dical condition 
which may pos e a significant risk of transmission in th e facility'. 

(g) Th e camp shall not acc e pt a child for car e until an intak e 
study has b ee n made by th e assign e d staff person and it has b e en 
d e t e rmined that th e n ee ds and th e b es t int e r e sts of th e child and 
his family or custodian can b e m e t through th e camping program . 

{h^ — Th e camp shall e stablish cl e arly writt e n admi ss ion 
polici e s and procedur e s which shall be available, upon r e qu e st, 
to th e public. 



of admis s ion for e ach child and docum e nted in th e child' s ca se 
fil e , including: 

fH — goal s s tat e d in sp e cific, rea l i s tic, and m e asurable 

t e rms; 
(3^ — plans that are action oriented, including who on the 
staff i s r e sponsibl e for the child to r e ach specific 
goals, and how th e s taff will act in ord e r for th e goal s 
to b e m e t; and 
(3^ — goals and plans writt e n in coop e ration with the child 
and his family and his l e gal cu s todian. 
(m) — Th e child's se rvic e plan shall be bas e d upon th e 



(i) Admission to th e camp must b e limit e d to th e numb e r of as sess m e nt of th e child and th e family' s n ee ds and the reasons 
childr e n for whom the camp is lic e ns e d and typ es of childr e n for that th e child's fo s ter care needs can b e st b e accommodated in 
whom a camp se tting is imp e rativ e . Only thos e childr e n who th e camping e nvironm e nt. 



n ee d care, individual att e ntion and sup e rvi s ion apart from th e ir 



(n) Th e plan s hall be r e view e d at least e v e ry thr ee months to 



famili es and for whom th e camp i s qualifi e d by s taff, program. d e t e rmin e th e child's and family's progr e s s or lack of progr e s 



facility, and s e rvic e s shall b e admitt e d. 



towards m ee ting th e goals and obj e ctive s , and to d e t e rmin e 



(j) Prior to th e admission dat e , th e camp shall docum e nt th e chang e s that n ee d to b e mad e in th e plan. 



following in writing for e ach child: 
f4^ — who has legal custody; 
(3^ — who will b e financially responsibl e for th e support 

and m e dical and dental care of th e child; 
(5) — how th e family and l e gal custodian will participat e in 

the program; 
(4) — how phon e calls, l e tt e rs, and visits will b e arrang e d; 
{&^ — how clothing, allowanc e s, and gifts for th e child will 

be handled; 
{6) — writt e n cons e nt fi'om th e child's l e gal custodian for th e 

child to participat e in activiti e s that th e camp will b e 

planning for th e child away fi'om th e camp ar e a; and 
f?) — a written agr ee ment, signed prior to th e day of 



a written agr ee ment, signed prior to th e day ot {^ 

admission by the camp staff, th e child, parent and {&} 



(o) Childr e n's camps shall maintain complet e , accurat e , and 
curr e nt cas e r e cords on e ach child r e c e iving s e r\'ic e . 
(p) Th e cas e r e cord shall includ e at l e ast the following: 

fH a compl e t e application for s e rvic e , signed by the 

p e rson or ag e ncy having l e gal custody, which includes 

at l e ast th e following: 

(A) — th e nam e , addr es s, rac e . s e x. r e ligion, birth 

dat e , and plac e of birth of th e child; 
(©^ — th e nam e , addr e ss, t e l e phon e numb e r, and 
marital status of th e par e nt or l e gal custodian, 
siblings, grandpar e nts, and oth e r significant 
individuals to th e child; 
{G) date of admission and sourc e referral; and 



4«gal — custodian. — which — sp e cifi e s — w+te — wtW — be 

r e sponsible for planning and impl e m e nting goal s 

whil e th e child is in th e camping program, 
(k) The camp shall e stabli s h writt e n di s charg e polici e s and 
proc e dures which will includ e at l e ast th e following: 

fH — giving prior notice to th e par e nt or custodian wh e n a 

child is scheduled for discharg e : 
(3) planning with th e child and hi s par e nt or l e gal 

custodian for his discharg e , giving th e opportunity for 

discussion and aft e r car e planning; 
f3^ discharging children und e r 1 8 who hav e not b ee n 

l e gally e mancipat e d only to th e p e r s on or ag e ncy 

having l e gal custody of th e child: 
(4) notify'ing th e l e gal cu s todian promptly in th e e v e nt a 

child l e av e s the camp for any non s ch e dul e d purpos e 



all docum e nts r e lat e d to th e r e f e rral of th e child 
to th e camp, including s ocial, family, m e dical. 
e ducational, and oth e r p e rtin e nt history that 
wa s u se d in making a d e ci s ion to admit th e 
child to th e camping program. 

{2) copi e s of l e gal docum e nt s such as birth c e rtificat es , 

court di s position s , plac e m e nt agr ee m e nts; 
(5-) — a copy of th e child' s s e rvic e plan which is k e pt curr e nt 
by th e as s ign e d s taff and documentation of th e e fforts 
mad e by th e camp d e signat e d staff p e rson to e nabl e 
th e cli e nt to r e ach th e agr ee d upon goals; 

f+) r e sults of all m e dical e xaminations, psychological 

e xaminations, and oth e r e ss e ntial information; and 
(5) — a summary supporting th e reasons for discharg e or 
t e rmination fi'om th e program, 
(q) All information in th e cas e r e cord must b e consid e r e d 



such as m e dical em e rg e ncy or runaway. Proc e dur e s privil e g e d and confid e ntial and shall b e r e l e as e d only wh e n th e 
shall b e d e v e lop e d for handling such non sch e dul e d par e nt or l e gal custodian has sign e d a cons e nt to r e l e a se 
d e partur e s and for d e t e rmining how th e child will information form. 



r e turn to th e program; and 

{&j — docum e nting in th e ca s e record th e circum s tanc e s 

l e ading to discharg e , th e rea s on for discharg e , who 

r e qu e st e d th e discharg e , the progr e ss that had b ee n 

mad e toward r e alizing th e goals, and to whom th e 

child was di s charg e d. 

(+) — Writt e n intervention goal s and plans for implementing 

s e rvices to e ach child in car e will b e d e v e lop e d within 30 days 



(r) During the p e riod of s e rvic e for th e child, th e ca se r e cord 
shall docum e nt s e rvic e and e ducational e xp e ri e nc es provid e d 
and th e child's r e spons e , e sp e cially: 

(+) obs e rvations of r e spons e to individual goal s and plan s 

and individualiz e d e ducational plan r e cord e d with 
significant fr e qu e ncy to enable evaluation of th e ir 
e ffici e ncy; 
{¥j r e ports of th e r e vi e w, e valuation and chang e in th e 



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465 



PROPOSED RULES 



i nd i v i dua l iz e d — s e rvic e — ptei — afid — individualiz e d 
e ducation plan, which ar e to b e don e at l e ast e v e rv 
thr ee months: 
{¥) summari e s of par e nt conf e r e nc e s: 



camp for al l staff and children. 

(h) Gasol i n e , k e rosene, and oth e r tiammabl e mat e rials shall 
b e s tor e d in cov e r e d safe contain e rs plainly lab e l e d as to content. 

f^ — All pow e r tools, including mow e rs and trimmers, must 



(4^ r e cords of s e rvic e s provid e d, especially medical and hav e th e n e c e ssary' s af e ty d e vic e s and b e us e d according to 



d e ntal se rvic es : 

f^^ r e cord s of significant b e havior incid e nts: 

{^ r e cords of tim e away from camp: and 

f?) — updates of any chang e in admis s ion data. 
( s ) Th e camp s hall mak e e v e ry e ffort to e nhanc e and e xpand tool s s hall b e stor e d in a lock e d plac e not occupi e d by children. 

<j-) — Fir e e xtinguish e rs must b e availabl e in all ar e a s so 



manufactur e r's instruction, maintain e d in good r e pair, and used 
only by thos e p e rsons e xp e ri e nc e d in th e saf e us e of power tools. 
Wh e n campers ar e using s uch e quipm e nt, a train e d and 
r e sponsibl e adult mu s t b e pr e s e nt. Wh e n not in us e all pow e r 



th e family's r e lationship with th e child, and to facilitat e positiv e 
communication between th e m in accordanc e with th e child's 



sor\'ice plan. 

(t) Th e camp shall provid e conditions of r e a s onabl e privacy 
for plann e d vi s it s and t e l e phon e contact s b e tw ee n th e child and 
family, fri e nds, and significant oth e rs. 

(u) Th e r e must b e a minimum of 2 couns e lors c e rtified in 
Basic — R e scu e — and — Wat e r — Saf e ty — for each — 1-0 — childr e n Authority G.S. 131 D-10. 5. 
participating in any on prop e rty activity involving wat e r, such as 
swimming, boating, canoeing, and rafting. — Off prop e rty, th e 
ratio sha l l b e 3 couns e lors for e ach 10 childr e n for trips of 21 
hours or mor e . At l e ast on e coun se lor s hall b e c e rtifi e d in CPR 
bv th e American R e d Cross. 



d e signat e d by fir e saf e ty officials and shall b e prop e rly charg e d 
and hav e a curr e nt insp e ction label. 

(k) Each p e rman e nt camp s it e must b e annually in s p e cted by 
th e local h e alth d e partm e nt and local Fir e mar s hal: and all 
violations must b e corr e ct e d. 



.0105 TRANSPORTATION 

(a) V e hicl e s shall b e driv e n only by thos e p e rsons who have 
a valid driver's lic e nse. 
fb) — Op e n body or s tak e b e d v e hicl es shall not b e us e d to 



(v) An itin e rary s hall b o on file at camp for any activity for transport childr e n outsid e th e confin es of th e camp grounds. 



mor e than 2 4 hours that i s off of camp prop e rty, which shall 
includ e nam e s of thos e participating, daily s ch e dul e , listing of 
ch e ck in point s , routes to b e taken, and t e lephon e numb e rs of 
e m e rg e ncy r es ourc e s along e ach rout e (sh e riffs, hospitals, rescue 
squad s ). 

Author it}- G.S. 131 D-10. 5. 

.0104 FACILITIES 

(a) — A l l sl ee ping units must provid e at l e ast th e following 
spac e : 

fH 30 s quar e f ee t p e r person: 

(2) — 6 f ee t b e tw ee n h e ad s of sl ee p e rs wh e n beds are in a 
h e ad to h e ad configuration: and 

sid e by sid e configuration, 
(b) All camp e r sl ee ping faciliti e s s hall b e 



(c) Th e r e must b e at l e ast 1 qualifi e d staff m e mb e r, oth e r than 
th e driv e r, in any v e hicl e tran s porting mor e than 9 individual s , 
including th e driv e r. 

fd^ No mor e individuals may b e transport e d in any 

automobil e , bus. or van than th e r e ar e seats in the v e hicl e . 

fe-) — Childr e n s hall not b e tran s port e d for mor e than 4 
continuous hours without a minimum of a 1/2 hour r e st s top. 

(0 Childr e n shall not b e tran s port e d in a v e hicl e for mor e 
than 10 hours in any 2 4 hour p e riod of time. 



Author It}- G.S. 13 ID- 10. 5. 

.0106 DAILY LIFE 

(a) Em e rg e ncy m e dical care must b e provid e d by an on call 



i mit e d to on e l e v e l 



30 inches b e tw ee n sides of beds wh e n b e ds ar e in a physician, nur se , e m e rg e ncy m e dical technician, or a p e rson who 

is oth e rwis e duly c e rtifi e d. 
fb) — All children's camps must b e within 60 minutes of 
structures. e m e rg e ncy m e dical tr e atm e nt. 

(c) Th e childr e n's camp mu s t hav e cl e arly d e fin e d, writt e n 
disciplinary polici e s. Th e s e polici e s s hall b e dir e ct e d at h e lping 
<daeh — child — d e velop — his — ewn — se lf control — and — assum e 



(c) Any structure, sleeping or oth e rwise, with an occupancy 
of mor e than 12 p e r s ons, including s taff, shall b e provid e d with 
at l e ast 2 se parat e and ind e p e nd e nt m e an s of e xit. 

(d) Op e n flam e lighting or use of combustible mat e rials such r e sponsibilir\ for hi s own acts. — Administration of disciplin e 
as lamp oil or k e ros e n e s hall not b e us e d in sleeping sh e lt e rs for s hall b e an adult r es ponsibility. No child or group of childr e n 
e ith e r lighting or h e ating. 

( e ) Th e r e shall b e potabl e wat e r availabl e at e ach camp sit e . 
ff) — At e ach children's camp th e r e shall b e provid e d a 

minimum of: 

H-) 1 show e r h e ad for e ach 20 childr e n: 

(3-) 1 flush toi le t for e ach 20 childr e n: 



s hall b e allow e d to punish anoth e r child. 

(4) — Childr e n must not b e subj e cted to cru e l, s e v e r e or 
e xc es siv e di s ciplin e including, but not limit e d to. ph>sical abus e - 
v e rbal abu se , locked confinem e nt, phy s ical r e straint, d e privation 
of food, of mail and of family vi s its and contact s . 

(0) Childr e n mu s t hav e at l e ast 3 m e al s available each day. 



0) 1 urinal for e ach 30 mal e childr e n (urinal s ma\ not b e plus nourishing snacks. Th e camp s hall pr e par e written menus 



s ubstitut e d for flu s h toilets): and 

f4-) 1 handwashing facility, adjacent to toil e t faciliti e s, for 

e ach 20 children, 
(g) Laundrv ' facilities or equipm e nt shall b e availabl e at e ach 



on at l e ast a w e ekly basis. Such m e nus shall b e on fil e for at 
l e ast 12 month s . — Wh e n food se rvices ar e not dir e ct e d by a 
r e gist e r e d nutritionist or di e titian, th e p e rson who dir e ct s food 
s e rvic e s must obtain consultation from a r e gi s t e r e d nutritioni s t 



466 



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13:5 



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or di e titian on an annual basis. 

(f) Childr e n must hav e a daily chang e of clothing availabl e - 
including socks, underw e ar, and out e r clothing s uitabl e to 
w e ath e r conditions. 

(g) Children must hav e the availability^ of b e ing abl e to bath e 
at least onc e e ach day. 

(h) Each child mu s t b e required to bru s h his t ee th at l e ast 
onc e a da>. 

(i) Ther e must b e a minimum of 1 coun se lor c e rtified in first 
aid training for e ach 10 children participating in any organiz e d 
activity, such as hiking, v e hicular touring, swimming, cano e ing, 
boating, and rafting. 

AuthorinG.S. 131D-10.5. 

.0107 EDUCATION 

(a) — Each camp must provid e an alt e rnative education 
e xp e ri e nc e and th e e ducational program s hall compK with th e 
appropriat e — r e quir e m e nt s — ef — the — D e partm e nt — of — Public 
Instruction; or. e ach camp mu s t bo registered as and m e et the 
r e quir e m e nts for a non public s chool. 

(b) Education in a camp s e tting mu s t b e e xp e ri e ntial and shall 
b e monitor e d and e valuat e d pur s uant to either public or 
non public school e ducational t e sting r e quir e m e nts to determine 
th e child' s achi e v e m e nt l e v e l. 



Authority G.S. 1310-10.5. 

SUBCHAPTER 41S - MINIMUM LICENSING 
STANDARDS FOR RESIDENTIAL CHILD CARE 

SECTION .0100 - GENERAL LICENSING 
REQUIREMENTS 

.0101 LICENSING ACTIONS 

(a) License. 
( 1) A license is issued when the Department of Health 
and Human Services determines that the residential 
child-care facility js jn compliance with minimum 
licensing standards. 

A license mav remain in effect for one year. 
A license is automatically provided a 90 day grace 
period at the expiration date of the license. 
If licensure materials are submitted after the license 



t2J 

i4J 



expires, but within the 90 day grace period, a license 
may be issued for one year from the expiration date of 
the previous license, 
(b) Changes in any information on the license. 

(1) A license mav be changed during the period of time it 
is in effect if the change is in compliance with 
minimum licensing standards for residential child care 
facilities. 

(2) A license may not be changed during the 90 day grace 
period. 

(3) A residential child-care facility must notify the 
Children's Services Section in writing of its request 
for a change in license, including such information as 
is necessary to assure that the change is in compliance 



with minimum licensing standards. 

(c) Termination. 

( 1 ) When a residential child-care facility voluntarily 
discontinues child caring operations, either 
temporarily or permanently, the Children's Services 
Section must be notified in writing of the date, reason 
and anticipated length of closing. 

(2) If a license is not renewed by the end of the 90 day 
grace period, the license is automatically terminated. 

(d) Adverse Licensure Action. 

( 1 ) Denial, suspension or r evocation, of a license may 
occur when a residential child-care facility is not in 
compliance with minimum licensing standards and it 
is determined that compliance cannot be accomplished 
within established time limits. 

(2) The decision to deny, suspend or revoke a license is 
reached through administrative processes within the 
Department of Health and Human Services. 

(3) A residential child-care facility shall be notified in 
writing of the decision to deny, suspend or revoke a 
license. 

(4) Appeal procedures specified in 10 NCAC 41 A .0007. 
WAIVER OF LICENSING RULES AND APPEAL 
PROCEDURES, are applicable for persons seeking 
an appeal to the Department's decision to deny, 
suspend or revoke a license. 

Authority G.S. 131D-10.5: 143B-153. 

.0102 LICENSING PROCESS 

(a) Application. The application phase of the licensing 
process shall bring the persons applying to provide residential 
child care under the jurisdiction of the licensing statute and shall 
provide an opportunity for the applicant to explore and 
understand requirements. 

( 1 ) Application for a license to operate a residential child 
care facility must be made to the Department of 
Health and Human Services. Division of Social 
Services, prior to tjie first child being accepted for 
full-time care. 

(2) Application for renewal of a license to operate a 
residential child care facility must be made to the 
Department of Health and Human Services. Division 
of Social Services, prior to the expiration of the 
current license. 

(b) Investigatory Phase. During the investigatory phase, the 
Division of Social Services. Children's Services Section staff 
shall focus on obtaining knowledge of the proposed program and 
projected methods of operation. For proposed private and public 
residential child-care facilities, the Division of Social Services. 
Children's Services staff, together with those seeking licensure, 
shall be responsible for completing this phase. For agency 
residential child-care facilities, the supervising agency shall be 
responsible for completing this phase. 

(c) Decision Regarding Licensure. All the required licensure 
materials must be received and reviewed relative to licensure 
standards, policies, and procedures by the Division of Social 



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467 



PROPOSED RULES 



Services. Children's Services Section staff prior to issuance of 
a license to operate. 

Authority U.S. I3ID-10.5: N3B-153. 

SECTION .0200 - MINIMUIVI LICENSURE 
STANDARDS 

.0201 DEFINITIONS 

(a) Case Plan. A vvritten document which describes the social 
and child welfare services and activities to be provided by the 
county department of social services in the Family Services Case 
Plan and/or other state and local agencies for the purpose of 
achieving a permanent family relationship for the child. 

(b) Child Caring Institution. A residential child-care facility 
utilizing permanent buildings located on one sjte for 10 or more 
foster children. Exception can be made when no more than two 
group homes located on one site and licensed as meeting 
licensure regulations for group homes are operated by a county 
department of social services, county government or by a private 
agency licensed to provide residential child care or child placing 
services. 



(c) Children's Foster Care Camp. A residential child-care 
facility which provides foster care at either a permanent camp 
site or in a wilderness setting. 

(d) Direct Service Personnel. Staff responsible for the direct 
services provided to children and their families including, but 
not limited to. child care workers, residential counselors, 
house/teaching parents, social workers, recreation and education 
staff. 

(e) Director. The person who is in charge of the agency and 
who is responsible for developing and supervising the program 
of residential child care and services. 

(f) Emergency Shelter Care. Twenty-four hour care provided 
in a residential child care facility for a period not to exceed 90 
days, in accordance with 10 NCAC 41T .0400. 

(g) Family Time. Specific period arranged for a child who 
resides in a residential child care facility to spend with kin either 
on-site at or away from the residential child care facility. 

(h) Foster Child. An individual less than 18 vears of age who 
has not been emancipated under the provisions of Article 56 of 
G.S. 7A. or one who is 18 to 21 vears of age and continues to 
reside m the residential child-care facility, who is dependent, 
neglected, abandoned, destitute, orphaned, delinquent, or 
otherwise in need of care away from home and not held in 
detention. 

(i) Group Home. A residential child-care facility operated 
either under public or private auspices which receives for 24 
hour care no more than nine children. This number includes the 
care givers' own relatives residing in the home under the ages of 
18. The composition of the group shall include no more than 
two children under the age of two, four children under the age of 
six, and six children under the age of 12^ A group home shall 
not provide day care, nor shall it be available to adults in the 
community who wish to rent rooms. 

liJ Individualized Service Plan. A written document which 
describes a child's needs, goals and objectives in a residential 
child care facilitv and the direct services staff tasks and 



assignments to meet a child's and family's needs, goals and 
objectives. 

(k) License. Permission granted in writing to a corporation, 
agency or county government by the Department of Health and 
Human Services to engage in the provision of full time child care 
or child placing activities based upon an initial determination. 
and annually thereafter, that such corporation, agency, or a 
county government has met and complied with minimum 
standards set forth in this Subchapter. 

(1) Full License. A fuli license is issued for one year 



ill 



when all minimum licensing requirements are met. 
Provisional License. 



tAJ 



m 



A provisional license is issued for a maximum 

of six months enabling a facility to operate 

while some below standard component of the 

program is being corrected. 

A provisional license for the same below 

standard program component cannot be 

renewed. 



(ij Private Residential Child-Care Facilitv: A residential child 
care facility under the control, management and supervision of 
a private non-profit or for-profit corporation, sole proprietorship 
or partnership which operates independently of a licensed child 
placing agency or any other residential child care facilitv. A 
resident ial child care facility under the auspices of a licensed 
child placing agency or another private residential child care 
facility shall be considered a private agency residential child care 
facility. 

(m) Public residential child care facility. A residential child 
care facility under the control, management and supervision of 
a county government or county department of social services. A 
residential child care facility under the auspices of a county 
department of social services shall be considered a public agency 
residential child care facility. 

(n) Visiting Resource. Volunteers from the community 
whose homes children visit on the weekends, holiday or 
vacations. 

(o) Volunteer. Person working for an agency who is not paid. 



Authority- G.S. 1310-10.5: 143B-153. 

.0202 RESPONSIBILITY TO LICENSING 
AUTHORITY 

(a) The residential child-care facility shall annually submit to 
the licensing authority the required infomiation and materials to 
document compliance and to support issuance of a license. 

(b) The residential child-care facility- shall submit to the 
licensing authority an annual statistical report of program 
activities. 

(c) The residential child-care facility shall provide written 
notification to the licensing authority of a change in the director. 

(d) The office of a residential child care facility shall be 
maintained within the geographical boundaries of North 
Carolina from which the activities carried out under the North 
Carolina license are handled. 

(e) The current license of a residential child care facilitv sha ll 
be posted at all times in a conspicuous place within the facility. 



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NORTH CAROLINA REGISTER 



September I, 1998 



13:5 



PROPOSED RULES 



(f) When there is a report alleging abuse or neglect jn a 
residential child-care facility, the director or his designee shall 
immediately notify the licensing authority. 

(g) The residential child-care facility shall submit to the 
licensing authority a report on the circumstances of the 
allegation and results of the investigation of the allegation of 
abuse or neglect This report, along with other information, shall 
be reviewed and evaluated by the licensing authority and used jn 
consultation and technical assistance to the residential child-care 
facility to improve services to protect children in placement in 
the residential child care facility. 

(h) The residential child-care facility shall have and follow 
policies and procedures for handling any suspected incidents of 
child abuse or neglect involving staff. The policies and 
procedures must include: 

(1) A provision for reporting any allegations of abuse or 
neglect to the appropriate county department of social 
services for investigation in accordance with G.S. 7A- 
543. 

(2) A provision for recording any suspected incident of 
abuse or neglect and for promptly reporting it to the 
executive director or to the governing body or 
advisory board. 

(3) A provision for promptly notifying the licensing 
authority of any allegations of abuse or neglect of any 
child in care. 

(4) A provision for preventing a recurrence of the alleged 
incident pending investigation. 

(5) A provision for written notification to the licensing 
authority of any findings of such an investigation of 
child abuse or neglect, specifying only whether there 
was substantiation or unsubstantiation of the case. 

Authority G.S. 131D-10.5: 143B-153. 

.0203 SUBSTANTIATIONS OF NEGLECT 
AGAINST THE FACILITY 

(a) When there js a substantiation of neglect against the 
residential child care facility, a corrective action plan shall be 
submitted by the director to the licensing authority' Section 
within 30 days of the substantiated report. 

(b) Following the receipt of the corrective action plan, 
licensure staff shall have the option to make one unannounced 
on-site visit to the facility within the 30 days following the 
receipt of the corrective action plan. 

(c) Licensure staff shall have the option to make subsequent 
onsite visits at varying frequencies and times throughout the 
ensuing year to determine that the corrective actions have been 
implemented. 

Authorities. 131D-I0.5: 143B-153. 

.0204 LICENSURE PROCEDURES 

(a) Private Residential Child Care Facility Licensure 
Procedures. 

(1) The following materials shall be submitted to the 
Department of Health and Human Services during the 
application phase: 



(A) Articles of Incorporation; 

(B) Bylaws; and 

(C) Governing board list 



with addresses. 



occupations and classes on the board, including 
officers and terms of officers, if applicable. 

(2) The following materials shall be submitted to the 
Department of Health and Human Services during the 
investigatory phase before an initial license can be 
issued: 

(A) License Application and Summary. 

(B) Program policies and procedures stating the 
purpose, outlining admission criteria, as well as 
defining areas of responsibilities for services 
which the facility will assume for children in 
care and for services to be provided by the 
referring agency or individual, and discharge 
criteria. 

(O Description of the child care program and 
evaluation method. 

(D) Program forms. 

(E) Budget outlining anticipated costs and sources 
of revenue for the first year of operation. 

(F) Personnel policies. 

(G) Organizational chart. 
(H) Job descriptions. 

(1) Staff resumes. 

(J) Full and part-time staff work schedules. 

(K) Medical examinations on full and part-time 
direct-care personnel and any relatives jn the 
home. The medical examinations must be 
completed by a licensed medical provider 
within six months prior to the license date. 

(L) Fire and Building Safety Inspection Report (for 
fewer than seven residents, for seven to nine 
residents or K) or more residents), completed 
and approved by the county building inspector 
or fire marshal. 

(M) Inspection Form for Residential Care Facilities, 
completed and approved by the county 
sanitarian. 

(N) Floor plan indicating room dimensions, usage 
of each room, window and door locations and 
sizes and method of heating. 

(O) Written approval from the Division of Facility 
Services for a design capacity of seven to nine 
residents or 10 or more residents. 

(3) Department of Health and Human Services staff shall 
make one or more visits to the residential child care 



m 



facility to complete the licensing study. 
Based on information obtained during 



the 



15J 



investigatory phase. Department of Health and Human 
Services staff shall evaluate the residential child care 
facility's proposed program and methods of operation 
to determine compliance with minimum licensure 
standards for residential child care facilities. 
Department of Health and Human Services staff shall 
notify the residential child-care facility in writing of 
the licensure decision, conditions of the license and 



13:5 



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September I, 1998 



469 



PROPOSED RULES 



any recommendations regarding the child care 
program. 

(b) Licensure Procedures for Private Agency. Public Agenc\ 
and Public Residential Child Care Facilities 

( 1 ) The following materials shall be submitted to the 
Department of Health and Human Services before a 
license can be issued: 

(A) License Application and Summary. 

(B) Program policies and procedures stating 
purpose, outlining admission criteria, as well as 

defining areas of 
responsibilities and discharge criteria. 

(C) Description of the child care program and 
evaluation method. 

(D) Program forms. 

(E) Budget outlining anticipated costs and sources 
of revenue for the first year of operation. 

(F) Job descriptions. 

(G) Staff resumes. 

(H) Full and part-time staff work schedules. 
(I) Medical examinations on fuH and part-time 
direct care personnel and any relatives in the 
home. TTie medical reports must be completed 
by a licensed medical provider within six 
months prior to the license date. 
(J) Fire and Building Safet\ Inspection Report (for 
fewer than seven residents, seven to nine 
residents, or 10 or more residents), completed 
and approved bv the count\ building inspector 
or fire marshal. 

(K) Inspection Form for Residential Care Facilities- 
completed and approved bv the county 
sanitarian. 

(L) Floor plan indicating room dimensions, usage 
of each room, window and door locations and 
sizes and method of heating. 

(M) Written approval from the Division of Facility 
Services for a design capacit\ of seven to nine 
residents or 10 or more residents. 

(2) Department of Health and Human Services staff shall 
notify the residential child-care facilit\ in writing of 
the licensure decision, conditions of die license, and 
any recommendations regarding the child care 
program. 

(c) Licensure Procedures Following First Year of Operation. 

(1) Prior to the license expiration date, the Department of 
Health and Human Services shall notify the residential 
child care facilit\ in writing of the licensure renewal 
requirements. 

(2) The follovving materials shall submitted to the 
Department of Health and Human Services before a 
license for a residential child care facility can be 
renewed: 









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{£} 



License Application and Summary. 
Governing board list, with addresses, 
occupations and classes on the board, officers 
and terms of office, if applicable. 
Budget outlining anticipated costs and sources 



of revenue of the next operating year, with 

estimation of daily cost of care per child for 

past year. 

Annual Information Report on Children. 

Biennial medical reports on full and part-time 

direct care personnel staff and any relatives in 

the facility. These physicals must be 

completed bv a licensed medical provider. 

Health Questionnaire on the year when the 

physical examination is not required. 

Fire and Building Safety Inspection Report (for 

fewer than seven residents, seven to nine 

residents, or 10 or more residents), completed 

and approved by the county building inspector 

or fire marshal. 

Inspection Form for Residential Care Facilities. 

completed and approved by tlie county 

sanitarian. 

Updated or revised materials to include, but not 

limited to. policies, procedures, forms, or 

amendments to Bylaws or Articles. 

Independent annual financial audit, if a private 

residential child care facility. 

(3) With the exception of residential child care facilities 
which are accredited by the Council on Accreditation. 
the Department of Health and Human Services staff 
shall annually conduct onsite visits to private 
residential child-care facilities and conduct desk 
reviews of the licensure materials of a private agency, 
public agency or public residential child care facilities 
to determine if minimum licensure standards for 
residential child care facilities continue to be met. 

(4) For residential child care facilities which are 
accredited by tlie Council on Accreditation. 
Department of Health and Human Services staff shall 
conduct onsite visits to these residential child care 
facilities Department of Health and Human Services 
and the Council on Accreditation. 

Authority G.S. 131D-10.5: 143B-153. 

SECTION .0300 - ORGANIZATION AND 
ADMINISTRATION 

.0301 GOVERNANCE 

(a) Charter: A private residential child care facility shall 
operate under a charter of incorporation filed with the 
Department of the Secretary of State. The charter shall have a 
statement of purpose which describes the geographic area to be 
served - kinds of children to be admitted, and tlie range of 
services to be provided, an official copy of which shall be 
submitted to the licensing authority. 

(b) Governin g Body: A private residential child care facility 
shall have a governing body which exercises authority over and 
has responsibility for its operation, policies and practices. 

( 1 ) The governing body shall be: 

(A) a board of directors in the case of a non-profi t 
or for-profit corporation: 



470 



NORTH CAROLINA REGISTER 



September 1, 1998 



13:5 



PROPOSED RULES 



m 



commissioners or appointed officials of a 
governmental unit; 

a proprietor in case of a sole proprietorsiiip; or 
(D) partners in case of a partnership. 

(2) In the case of a non-profit or for-profit corporations. 
the governing body shall: 

(A) be composed of no fewer than six members to 
include men and women with varying abilities, 
experience, and cultural backgrounds: 
provide for a system of rotation for board 
members, for limitation to the number of 
consecutive terms a member may serve; 
establish standing committees; 
provide orientation for new members; and 
meet at least twice annually. 

(3) The governing body or executive committee shall 
meet at least quarterly with a quorum present. 



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AuthohtvG.S. 131D-10.5: 143B-153. 



.0302 



RESPONSIBILITIES OF THE GOVERNING 
BODY 

The governing body shall: 
£JQ adopt administrative, personnel, and program policies 
which are reviewed at least every two years; 

(2) review and approve a budget prior to the beginning of 
the fiscal year; 

(3) establish and periodically review policies on 
fundraising and investment management and obtain 
professional assistance and consultation as needed; 

(4) annually review and formally accept the financial 
audit; 

(5) employ a chief executive officer (director, executive 
director, president, superintendent) and delegate 
authority to that person to employ and dismiss staff, 
implement board policies, and manage day-to-day 
operation of the facility: 

(6) permit the chief executive officer or designee to 
attend all meetings of the governing body and 
committees with the exception of those held for the 
purpose of reviewing his performance, status, or 
compensation: 

(7) annually evaluate and document the chief executive's 
performance through specific criteria and objectives; 
initiate and review an annual evaluation of services 



(8} 

m 

(10) 



Authority G.S. 13 ID- 1 0.5: 143B-I53. 

.0303 FINANCES 

(a) Fiscal Management: The chief executive officer shall: 

( 1) implement sound financial practices in order to 
prepare and periodically review the budget, and to be 
accountable to the community; and 

(2) report to the governing body at least quarterly or more 



(bj Audit: 
LJU An 



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frequently, as requested, on present financial status 

and anticipated problems. 

The residential child care facility shall: 

(A) have a sound plan of financing which assures 
sufficient funds to enable it to carry out its 
defined purposes and provide proper care and 
services for children; 

(B) develop adequate resources and manage them 
prudently in order to obtain the revenues that 
support its programs and prevent the 
interruption of needed care and services to 
clients 

have a written budget concerning income and 
expenditures which serves as the plan for 
management of its financial resources for the 
program year; 

annually analyze the comprehensive unit cost 
of providing each service to monitor trends, 
reflect current experience, use in contracting, 
billing, and establishing a fee schedule, if a fee 
schedule is utilized. 

audit of the residential child care facility's 
financial statements shall be performed annually by an 
independent accountant approved by the governing 
body or by the appropriate governmental auditing 
authority . 

A copy of the annual audit shall be submitted to the 
licensure authority. 



££} 



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and direct needed changes based on the evaluation; 

annually review facility needs related to risk (2) 

management; and 

maintain a long range plan and review annually. 



Authority G.S. I31D-10.5: 143B-153. 

.0304 INTERNAL OPERATING PROCEDURES 

The residential child care facility shall adopt and annually 
review operating procedures for each administrative and 
program area in order to effectively carry out its policies and 
shall make the internal operating procedures available to clients, 
families, and legal custodians. 

Authority G.S. 131D-10.5: J43B-I53. 

.0305 RECORDKEEPING AND REPORTING 

(a) The residential child care facility's policy on 
confidentiality shall: 

(1 ) identify the individuals with access to or control over 
confidential information; 



£3} 



specify that persons who have access to records be 
limited to the client, the parent or legal custodian 
when the client is a minor, and other authorized 
personnel. These persons shall include auditing, 
licensing, or accrediting personnel or those persons 
for whom the agency has obtained a signed consent 
for release of confidential information. An exception 
shall be made in the case of an investigation of child 
abuse or neglect by a county department of social 
services; and 

require that when client information is disclosed a 
signed consent for release of information js obtained 



13:5 



NORTH CAROLINA REGISTER 



September I, 1998 



471 

BBBH 



PROPOSED RILES 



on a consent tor release torrn. 
(b) The residential child care facilit\ shall: 

( 1 ) pro\ide a secure place for the storaae of records with 
confidential information: 

(2) inform emplosees. students, \olunteers and other 
indi\iduals with access to confidential information of 
the provisions of these regulations: 

(3) ensure that, upon emploNment and whenever revisions 
are made, staff sign a compliance statement which 
indicates an understanding of the requirements of 
confidentiality 

(4) unless harmful, permit children to review their case 
records in thie presence of facilit\ professional 
personnel on tlie facilirv premises, in a manner that 
protects the confidentialit^ of other famiK members 
or other individuals referenced in thie record: 

(5) in cases of perceived harm to the child, document in 
writing any refusals to share information with the 
child, parent or legal custodian: 

(6) maintain a confidential case record for each child: 

(7) maintain confidential personnel records for all 
employees: 

(8) maintain confidential records for all volunteers: and 

(9) destroy in office a closed record in which a child has 
been discharged for a period of three years or destroy 
in office a record three years after a child has reached 
age 18. unless included in a federal fiscal and or 
program audit that is unresolved, then destroy in 
office when released from all audits. 

Authorities. 131D-W.5: 143B-153. 

.0306 CLIENT RIGHTS 

(a) The residential child care facility shall develop and 
implement policies and procedures to protect the individual 
rights and dignit^ of children and families. 

(b) The residential child care facilit^ shall have a client's and 
families' rights policv which includes that each child has the 
right to: 

( 1 ) privacy: 

(2) be prov ided adequate food, clothing, and shelter: 

(3) have access to family time and have telephone 
conversations with family members, when not 
contraindicated in the child's intervention plan or 
individualized sen ice plan: 

(4) hav e personal property and a space for storage: 

(5) express opinions on issues concerning the child's care 
or treatment; 

(6) receive care in a manner that recognizes variations in 
cultural V alues and traditions: 

(7) be free from coercion with regard to religious 
decisions. The facilit^ shall have a process to assure 
that, whenever practical, the wishes of tlie parents 
with regard to a child's religious participation are 
ascertained and followed: 

(8) not be identified in connection with publicit\ for the 
facility which shall bring the child or tfie child's 
family embarrassment: and 



(9) not be forced to acknowledge in public dependency 
on or gratitude to the facility. 

(c) The residential child care facilit^ shall have a policy 
which prohibits direct involvement tn a child in funds 
solicitation for the facility. 

(d) The residential child care f acility shall have a policy 
which prohibits the child's participation in any activities 
involving audio or visual recording and research without the 
voluntary signed, time-limited consent of the child and the 
child's legal custodian. 

Authorit}-G.S. 13ID-10.5: 143B-153. 

.0307 GRIEVANCE PROCEDURES 

(a) The residential child care facility shall provide to each 
child and parents or legal custodian, upon admission: 

( 1 ) a wTitten description of policies and procedures which 
the child and his parent(s) or legal custodian follow to 
register complaints: 
information about client rights: 
the process for appealing a decision or action of the 
facility: and 
the process for resolution of a complaint. 

(b) Upon resolution of a grievance, the residential child care 
facility shall maintain a copy of the complaint and the resolution 
in the case record. 

Authority- G.S. 131D-10.5: 143B-153. 

SECTION .0400 - PERSONNEL 

.0401 PERSONNEL POLICIES 

The residential child care facility shall have written personnel 
policies and procedures which shall be provided to all 
employees. Revisions of all personnel policies shall be in 
writing and provided to employees on a timeh basis. Policies 
and procedures shall address the following areas: 
( 1 ) Recruitment and hiring: 



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111 



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Compensation structure and benefits: 

Orientation plan for new employees: 

Training and staff development: 

Regulations regarding use of equipment and assets: 

Notification of work schedule: 

Description of leave policy, including time-off duty 

for disciplinary actions for direct care staff: 

Termination: 

Operational procedures regarding grievances which 

provide the opportunity and means to lodge 

complaints and appeals: 

Description of the process for revision of personnel 

policies: 

Annual evaluations: 

Staff quarters and searches: and 

Disciplinary measures. 



Authorit\- G.S. 131D-10.5: 1438-153. 



.0402 



PERSONNEL DEPLOYMENT 



472 



NORTH CAROLINA REGISTER 



September 1, 1998 



13:5 



PROPOSED RULES 



The residential child care facility shall ensure that the 
deployment of personnel supports the stated mission of the 
facility. 

(1) Job descriptions: There shall be a written job 
description for each position, which includes duties, 
responsibilities, qualifications, and to whom the 
position is responsible. Job descriptions shall be 
consistent with duties being performed. 
The residential child care facility shall have 



m 



£3} 



procedures for annual evaluation of the work 
performance of each employee which provides for 
employee participation in the process. 
The residential child care facility shall have an 
organizational plan which delineates the number of 
staff and levels of supervisors/managers, taking into 
account the complexity and size of the workload of 
each staff. The plan must demonstrate adequate 
supervision of staff 



Authority G.S. 131D-10.5: 143B-153. 

.0403 PERSONNEL FILE 

The residential child care facility shall maintain a personnel 
file for each employee which includes the following: 

(T) The application for employment including the record 
of previous employment; 
Documentation of at least two references and a 



01 

(4} 
(6] 

ill 
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(10) 
LUl 
(12) 



(13) 



criminal record check: 

Medical information required for each staff by 

licensure standards; 

Signed confidentiality agreement if applicable; 

Position specific credentials/certifications; 

Record of completed orientation and ongoing staff 

development; 

Annual perfonnance evaluations; 

Documentation of disciplinary actions; 

Documentation of grievances filed; 

Employee's starting and termination dates; 

Reason for termination; 

Signed and dated release or notation of employee's 

waiver of release for future employment references; 

and 

Documentation of a driving record check, if 

applicable. 



Authority G.S. 13 ID- 1 0.5: 143B-I53. 

.0404 PERSONNEL QUALIFICATIONS 

(a) Criminal Records Check. Applicants, employees or 
volunteers who have a history of criminal convictions that would 
adversely affect their capacity and ability to provide care, safety 
and security for the children in residence shall not be permitted 
to provide direct child care. A signed statement shall be 
obtained attesting that the applicant, employee or volunteer does 
not have such a record prior to providing direct child care. 

(b) Child Abuse. Employees or volunteers who have a 
criminal conviction of child abuse shall not be permitted to 
provide direct child care. 



(c) Driver's License. Employees or volunteers driving a 
residential child care facility vehicle must possess a valid 
driver's license appropriate for the type of vehicle used. 

Authority G.S. 131D-10.5: N3B-I53. 

.0405 PERSONNEL POSITIONS 

(a) Director There shall be a flill time director for an agency 
with one or more facilities licensed for 20 or more children. At 
a minimum, there shall be a part-time director for an agency with 
one or more facilities licensed for less than 20 children. 

(1) Qualifications. A director shall have management 
skills that enable the effective utilization of the 
residential child care facility's human and financial 
resources and the coordination of the facility's 
services with those provided by other community 
resources. 



12} 



Responsibilities and functions. The director shall: 
(A) Be responsible for the general management and 
administration of the residential child care 
facility in accordance with 



licensmg 



requirements and policies established by the 
governing board; 

Interpret licensing standards, established child 
care standards and the residential child care 
facility's services to the board, the facility's 
constituency, other human service agencies and 
the public; 

Initiate and carry out the program of residential 
child care as approved by the governing board; 
Report to the governing board on all phases of 
operation at least quarterly; 
Delegate authority and responsibility to 
qualified staff to ensure the maintenance of the 
residential child care facility operations; 
Establish and oversee fiscal practices, present 
the annual operating budget and quarterly 
reports to the governing board; 
Evaluate, at least annually, the training needs 
of the staff; plan and implement staff training 
and consultation to address identified needs; 
Employ and discharge staff and meet on a 
regular basis with administrative and 
management staff to review, discuss and 
formulate policies and procedures; and 
Supervise all staff responsible to the director's 
position and conduct an annual written 
evaluation which shall contain both a review of 
job responsibilities and goals for future job 
performance. 

(b) Clerical. Maintenance and Other Support Personnel. The 
residential child care facility shall employ or contract qualified 
personnel to perform all clerical, support and maintenance 
duties. 

(c) Business and Financial Personnel. The residential child 
care facility shall employ or contract personnel to perform aH 
business, accounting and financial functions. 



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{£1 



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£GJ 



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ID 



13:5 



NORTH CAROLINA REGISTER 



September I, 1998 



473 



PROPOSED RULES 



(d) Direct Service Personnel. 

( 1 ) Qualifications. Direct ser\ice personnel, hired after 
the effective date of these Rules, shall: 

(A) Be at least 21 \ears of aee: 

(B) Have a high school diploma or have a 
comparable educational certificate: 

(C) Have education or experience to meet the 
responsibilities of the job: 

(D) Have a physical examination by a licensed 
medical prov ider prior to assuming the position 
and biennially thereafter. This examination 
shall include a TB test, unless the medical 
provider advises against this test. This 
examination shall include a statement 
indicating the presence of any communicable 
disease yvhich may pose a significant risk of 
transmission in the residential child care 
facility. After the initial examination, the cost 
of the physical examinations as required by 
licensure shall be at the expense of the facility. 

(2) Standards for direct service personnel jn the living 
unit: 

(A) There shall be at least one direct service 
personnel assigned to everv 10 children 6 years 
of age and older and at least one direct care 
personnel assigned for every 5 children 
younger than 6 years of age. Supervisory 
personnel within voice range shall be allowed 
to be included jn the child to staff ratio: 

(B) There shall be provided qualified, adequate 
supervision and training in the areas of but not 
limited to. first aid & CPR. child development- 
permanency planning methodology, group 
management, preferred discipline techniques- 
family relationships, human sexuality, health 
care and socialization, leisure time and 
recreation. \n addition, there shall be special 
training provided appropriate to the needs of 
the client population, including but not limited 
to. training in child sexual abuse: 

(C) There shall be qualified and adequate 
supervision of food preparation and nutrition 
vshen meals are prepared in the liv ing unit: and 

(D) Other duties shall be specified in writing and 
assigned in accordance with any specialized 
services of the program. 

(3) Standards for supervisory personnel: 

(A) There shall be at least one supervisor for every 
15 direct service personnel. 

(B) Supervisory staff shall be se lected on the basis 
of the knowledge, experience and competence 
required to manage direct serv ice personnel. 

(4) Standards for other direct service personnel: For 
residential child care facilities that employ staff as 
social workers, the folloyyjng applies: 

(A) There shall be at least one social worker 
assigned for every 16 children and, for every 
six social workers, at least one supervisor shaH 



be assigned: 

(B) There shall be provided qualified and adequate 
superv ision and training in the areas of but not 
limited to. child development, permanency 
planning methodology, group dvTiamics. family 
sv Etems and relationships, and child sexual 
abuse: 

(C) There shall be familiarirv with community 
resources for children and their families in 
addition to the agency 's in-care services: and 

(D) Other duties shall be specified in writing and 
assigned in accordance vsith any specialized 
services of the program. 

Aiithohn-G.S. 131D-10.5: 143B-153. 

.0406 AUXILIARY SERVICES PERSONNEL 

The residential child care facility shall have available auxiliary 
services provided by contract to supplement the program of care. 
These service providers may include, but are not limited to. 
consultants, contracted services for the program of care, 
maintenance of the facilirv. and interns or students. 

( 1) Consultants shall be qualified practitioners who are 
recognized by applicable degrees, organizations and 
appropriate licensing boards, if the residential child 
care facility contracts y\ith consultants, the facility 
shall document the consultants' credentials. 

(2) Paid consultants shall not be in conflict of interest 
with the residential child care facility in fact or 
appearance. They shall have no direct or indirect 
financial interest in the assets, transactions or serv ices 
of the agency. 

(3) Interns or students shall meet all of the requirements 
stipulated for the position in which they are serving 
with the exception of completed education and 
experience. There shall be a written agreement 
between the placing educational institution and the 
residential child care facility specifying 
responsibilities and supervision of tlie intern or 
student. 

Authorin-G.S. 131D-10.5: 143B-153. 

.0407 VOLUNTEERS 

The residential child care facility shall have a written 
description of the s pecific responsibilities and the provision of 
supervision of all volunteers. Volunteers shall: 

( 1) Meet the personnel qualifications specified in 10 
NCAC41S .0404. 

(2) Meet the qualifications and implement the duties of 
the position as specified. 

(3) Be provided sufficient orientation, training and 
supervision to enable knovsledge of tfie facility's 
purpose and services, the needs of children and 
families served and the role and responsibilities to be 
assumed. 

(4) Provide tvso references relevant to tfie role and 
responsibilities to be assumed. 



474 



NORTH CAROLINA REGISTER 



September 7. 1998 



13:5 



PROPOSED RULES 


15} 


Agree in writing to abide bv the confidentialitv plan, including the parent(s)/leaai custodian's 
policies of the aeencv. expectations; 

(4) description of the child's family and significant others; 



Authority G.S. I3ID-10.5: I43B-I53. 

SECTION .0500 - SERVICE PLANNING 

.0501 ADMISSION POLICIES 

(a) The residential child care facility shall have written 
admission policies which clearly define and describe the age, sex 
and type of child to be served. 

(b) The residential child care facility shall limit admissions to 
children who need out of home care apart from their families and 
for whom the facility is qualified by staff, program, buildings 
and services to giye appropriate care. 

(c) In the case of private referrals, the residential child care 
facility shall: 



ID 

m 



document reasonable efforts to prevent placement; 
establish that the facility provides the least restrictive 
setting for the child; 
(3) develop and implement a case plan with the child's 
family for reunification, when possible. 

(d) In the case of out of state referrals , the residential child 
care facility shall not admit a child without ICPC approval. 

(e) The residential child care facility shall provide the 
applicant a handbook of admission procedures which includes: 

(1) a description of the admissions process; 

(2) the application; including any fees for services; 

(3) the preplacement activities for the child, his parent(s). 
guardian, or legal custodian; and 

(4) an explanation of the group assignment method. 

(f) The residential child care facility shall maintain a referral 
log which includes: 

(1) child's name, age, sex, and race; 

(2) legal custodian; and 

(3) disposition of admission. 

Authority' G.S. I31D-I0.5: 143B-153. 

.0502 ADMISSION PROCEDURES 

(a) The residential child care facility shall establish and 
implement an intake process which includes: 

(1) receipt of an application and a face-to-face interview 
with the child, legal custodian, and famih whenever 
possible, with a specific effort to help the child 



12} 



understand the purpose of and need for out of home 
care and residential services; 
an exchange of information about the facility's 
program and the child's needs, and to provide written 
information required jn 10 NCAC 4 1 S .0307(a) and 
10 NCAC41S. 0504(a)(5). 
(b) A written intake study shall be completed for each child 
accepted into residential care which includes: 

(1) circumstances that led to the need for placement, and 
the child's understanding of the placement; 
assessment of family issues and justification that the 
facility meets the needs of the child and famih; 
short term placement goals and long range permanent 



(5) description of the child's behavior; 

(6) child specific information, including: 

(A) medical history, including any current medical 
problems; 

(B) developmental history and current level of 
functioning; 

(C) educational history, if applicable; and 

(D) the results of current psychological testing, if 
applicable. 

Authority G.S. 131D-10.5; 143B-153. 

.0503 ADMISSION AGREEMENT 

(a) At admission, the residential child care facility must 
develop a written agreement between the parents or legal 
custodian and the facility which specifies the services to be 
provided by the facility and the responsibilities of the parents or 
legal custodian which includes the following: 

(1) statement of consent for placement by the parents or 
legal custodian, with the date of admission; 
plan for providing admission information on the 
child's care, developmental, educational, medical, and 
psychological needs to the parent(s) or legal 
custodian, the frequency of service plan reviews, and 
receipt of program information required by 10 NCAC 
41S .0307(a) and 10 NCAC 41S .0504(a)(5); 
statement of facility responsibility for working with 
the child's parents; 

statement related to the provision of religious training 
and practices and consent to these by the parents or 
legal custodian; 
plan for family time; 
fees and plan for payment of care; 
plan for discharge to include projected length of stay; 
and 

statement of facility responsibility for aftercare 
services. 

(b) For youths 18 years of age and older residing jn the 
residential child care facility, the facility shall obtain a voluntary 
placement consent signed by the youth which specifies the 
conditions for continued residential care and services. 



12} 



13} 



14} 



15} 
16} 

17} 

18} 



Author it\- G.S I3ID-10.5: 1438-153. 



.0504 ORIENTATION 

(a) The residential child 



care facility shall provide 



12} 



13} 



information and discuss the program policies governing the 
residential care and services of children with the child's parents 
or legal custodian and the child at or before admission, which 
include: 

(1) family time, mail, gifts, personal possessions, money. 
and telephone calls and restrictions which may be 
imposed on these; 

(2) discipline and behavior management, including the 
use of searches of children's rooms and possessions; 



13:5 



NORTH CAROLINA REGISTER 



September 1, 1998 



475 



^ea 



PROPOSED RULES 



(3) program of religious training and practices; 

(4) educational resources; 

(5) trips away from the facility; 

(6) use of volunteers or visiting families, if any; 

(7) physical restraint practices; 

(8) client rights and grievance procedures; and 

(9) daily and seasonal schedules. 

(b) The residential child care facility shall obtain the case 
plan from the county department of social services at or before 
admission, when the county department of social services is the 
legal custodian. In the case of a private placement, the facility 
shall combine the case plan and the individualized service plan. 

(c) The residential child care facility shall develop a written 
individualized service plan for each child within 30 days of 
admission. This plan shall be reviewed initially within 60 days, 
the second review shall be within 90 days of the initial review 
and the third and subsequent reviews shall be held every six 
months, inviting parents, the legal custodian, if different, the 
child, as well as any individual or agency designated as 
providing service to participate. 

£d} The individualized service plan shall be developed 
utilizing information from an assessment of the child's and 
family "s needs and include goals based on normal developmental 
tasks and needs. The goals and objectives shall be based on 
identified issues, be behaviorally specific, time limited and 
measurable and include staff assignments and specific strategies 
to be taken to meet the goals in the following areas: 

(1) special interests and personal goals; 

(2) intellectual, academic and/or vocational; 

(3) psychological and emotional; 

(4) physical; 

(5) social and family relationships; 

(6) cultural and spiritual; and 

(7) basic living skills. 

£e] A family time plan shall be part of the individualized 
service plan for each child. 

(f) A written discharge plan shall be part of the individual 
service plan for each child. 

(g) Direct care staff shall be infomied about the child's initial 
individualized service plan and shall participate and/or provide 
input at the reviews as described in 10 NCAC 4IS .0504(c). 

(h) A copy of the child's individualized service plan shall be 
provided to the parent(s) or legal custodian. When appropriate, 
the child's individualized plan shall be provided to the 
individuals listed as providing service. An age appropriate 
version of the individualized service plan shall be written and 
provided to each child. 

£ij The child's individualized service 
include: 



Ian review shall 



in 



an evaluation of progr ess towards meeting identified 

needs; 

any new needs identified since the child's 

individualized service plan yvas developed or last 



reviewed and behaviorallv-specific strategies to meet 

these needs, including instructions to staff; 

an update of the estimated length of stay and 

discharge plan; and 

signatures of the persons participating in the review. 



Authority G.S. 13ID-I0.5: 143B-I53. 

.0505 DISCHARGE POLICIES AND PROCEDURES 

The residential child care facility shall have written discharge 
policies that will establish the guidelines for terminating the 
facility 's residential care and services to the child and family to 
include the following: 

(1 ) opportunity for the parent(s) or legal custodian to be 
informed and have opportunity to discuss the decision 
to discharge the child; 
designation of a timeframe for the child to be 



{2} 
iM 



discharged which allows sufficient time for the child 
and facility to prepare for departure and for 
arrangements to be made for the child's care; 
discharge of a child under 18 years of age only to the 
legal custodian; 

completion of a summary within 30 days of discharge, 
which includes the following: 

(a) date and circumstances of discharge; 

(b) name, address and telephone number of the 
legal custodian to whom the child shall be 
discharged; 

services provided and evaluation; 
recommendations for needed services; and 






(5j 



16] 



provision of or referral for after care services. 
Upon a child's departure, the residential child care 
facility shall provide a copy of the child's educational, 
medical and dental records, clinical materials (as 
available) and other related materials, as appropriate, 
to the parent(s) or legal custodian; 
Upon a child's departure, the residential child care 
facility shall send all personal clothing and belongings 
with the child. 



Authority G.S. I31D-10.5: 143B-153. 

.0506 CLIENT RECORDS 

(a) The residential child care facility shall maintain a client 
record for each child which contains the following: 

(I ) documentation of placement authority by legal 
custodian; 



(2J 
OJ 
14} 
15} 
16} 
12} 
18} 
19} 
(10) 



liU 
02} 
113} 
(14) 

115} 



completed application for services; 

written placement consent and agreement; 

intake study and related documents; 

documentation that verifies the child's birth; 

pre-admission physical examinations; 

immunization records; 

intervention plan and reviews; 

written service plan and review; 

documentation of all family time, including duration. 

location both onsite and off-site, and frequency, as 

well as any rationale for restrictions on family 

involvement; 

consents for release of information; 

consent for emergency medical treatment; 

consents for field trips; 

ongoing record of medical and dental care; 

documentation of medical insurance; 



476 



NORTH CAROLINA REGISTER 



September I, 1998 



13:5 



PROPOSED RULES 




(16) physical restraint and incident reports; and ( 1 ) child's name, ape, sex and race; 

(17) discharge summar\. (2) name of legal custodian; and 

(b) The residential child care facilitv shall maintain client (3) dates of admission and discharge. 





12] 



(3} 



records for the purpose of: 

( 1) protecting the legal rights of the child, the parents and 

legal custodian, and the facilitv; 

documenting service provision to the child and family. 

including an evaluation of effectiveness of services 

provided; and 

providing a source of information about individual 

children, as well as information for the facility in 

planning its program of care and services, 
(c) Staff entries in client records shall be dated, initialed or 
signed. 

Authority G.S. 131D-10.5: 143B-153. 

SECTION .0600 - SERVICE DELIVERY 

.0601 PROGRAM POLICIES AND PRACTICES 

(a) The residential child care facility shall have a written 
program description and written program policies and 
procedures. 

(b) The residential child care facility shall design a program 
to provide opportunities for positive learning experiences and to 
meet the needs of children and families. 

(c) The residential child care facilitv shall provide a daily 
schedule of activities to meet the needs of children, which allows 
time for privacy and individual pursuits. 

(d) Tlie residential child care facilitv shall consider each child 
an unique individual, providing opportunities which take into 
consideration each child's ethnic and cultural backgrounds. 

(e) The residential child care facilitv shall give each child 
individual attention and nurturing. 

(f) The residential child care facilitv shall provide each child 
with the opportunity to have interaction with adults and children 
of both sexes. 

(g) The residential child care facilitv shall instinct and 
supervise each child in personal care. h\giene. and grooming 
appropriate for the age, sex, race and developmental capacity of 
the child. 

(h) The residential child care facility shall ensure that each 
child has normal contacts in the community in which the facilitv 
is located through participation in events such as. but not limited 
to. school functions, recreational facilities, church youth groups, 
part-time paid employment, community service and volunteer 
work. An exception shall be made when communit^ contact is 
inconsistent with the program design. 

(jj The residential child care facilitv shall encourage each 
child to form friendships with children outside the facilitv, to 
visit friends in the community, and have their friends visit them 
at the facilitv. An exception shall be made when contact with 
friends is inconsistent with the program design or service plan. 

(i) The residential child care facility shall provide residents 
with access to telephones to maintain contact with friends and 
family members. 

(k) The residential child care facility shall maintain a log of 
children in residence which includes: 



Authority- G.S. I3ID-10.5: 143B-I53. 

.0602 FAMILY INVOLVEMENT 

(a) The residential child care facilitv shall have written 
policies and procedures regarding family involvement which 
support and encourage families to participate in planning, 
communication and family time. 

(b) Family involvement shall include: 

( 1) Planning. The facility shall allow family members 
opportunities to participate in planning events for 
their child and themselves. 

(2) Communication. The facilitv shall allow children to 
send and receive unopened mail and to have telephone 
conversations with parent(s) or other family members. 
An exception shall be made if it is determined that the 
child's best interest, individualized service plan or a 
court order necessitates restrictions. 

(3) Family Time. The facility shall allow children and 
family members the opportunity for family time, 
based on the purpose of placement and in support of 
the child's goals. 

Authority G.S. 13 ID- 10. 5: 143B-153. 

.0603 VISITING RESOURCES 

(a) The residential child care facilitv shall have written 
policies and procedures regarding visiting resources, which 
include that: 



m 

£3] 

m 

m 



no financial support shall be paid to the visiting 

resource; 

written consent shall be obtained from each child and 

each legal custodian prior to a visit; 

resources, support and supervision shall be provided 

to ensure the needs of the child are met during the 

visit; 

responsibility for the child during visits with the 

visiting resource shall be retained b\ the facilitv; 

the child's interests, needs, and welfare as identified 

in the child's individualized service plan shall be 



assessed by the facilitv m determining a visiting 
resource; 

prior to an overnight visit, visits between the visiting 
resource and the child shall be arranged to occur both 
at the agency and at the home of the visiting resource; 
and 

orientation to foster care, training on the types of 
children served and information on the child for 
whom they will be providing care shall be provided, 
(b) The residential child care facilitv shall conduct an initial 

assessment of each visiting resource and subsequent annual 

assessments, which include: 

(1) a home visit to ensure the building is safe and in good 
repair; 

(2) a completed application; 



13:5 



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477 



"'■°™""'"- 



PROPOSED RILES 



(3) a brief social history, includirm an evaluation of 
parenting skills and abilities; 

(4) an agreement signed between the visiting resource and 
the facility, which specifies the responsibilities of 
each; 

(5) three references affirming the visiting resource's 
parenting skills and abilities; 

(6) local criminal record checks on adult members 
residing in the home; and 

(7) documentation that the visiting resource's residence is 
located within a 50 mile radius of the facility or of the 
reason the visiting resource is beyond the 50 mile 
radius. 

AuihohryG.S. I31D-10.5: 143B-I53. 

.0604 HEALTH SERVICES 

Medical Program. 
(I ) Medical Requirements for Admission. 

(a) No child shall be accepted into a residential 
child care facility without having had a 
physical examination within six months prior 
to admission, which shall include a signed 
statement by a licensed medical provider 
specifs'ing the child's medical condition and 
medications prescribed and indicating the 
presence of any communicable disease which 
may pose a significant risk of transmission in 
the facility. If a child is in the custody of a 
department of social services, is already 
scheduled to have and js having a physical 
completed annually, and js entering a facility. 
the schedule of annual physicals shall not be 
changed. A copy of the most recent physical 
shall be obtained from the responsible 
department of social services by the facility. 

(b) A child admitted to a residential child care 
facility shall be immunized against diphtheria- 
tetanus, whooping cough, poliomyelitis, red 
measles (rubeola), rubella, mumps, and any 
other disease as required by 15A NCAC 19A 
.0400. as age appropriate, prior to admission. 
Documentation of immunizations shall be 
obtained. A copy of 15A NCAC I9A .0400 
may be obtained from the Office of 
Administrative Hearings. PO Drayver 27447. 
Raleigh. North Carolina. (919) 733-2678. at a 
cost of tyvo dollars and fifty cents ($2.50) at the 
time of adoption of this Rule. 

Routine Medical Care. 



ill 



taj 



tbj 



Arrangements shall be made with one or more 
licensed medical providers or medical clinics 
and ys ith at least one dentist for the care of the 
children. 



Each child shall have a physical examination at 
least once a year and more often as needed. A 
child shall not be allowed to participate in 
actiy ities that pose unreasonable risk to his 



Ic] 



health. Any illness, disease or medical 
condition ot" a child shall be identified and 
treated promptly through proper medical care. 
Children shall have a psychiatric or 
psychological examination or both when 
indicated and treatment when indicated. 
Children must have had a dental examination. 
by a licensed dentist, within one year prior to 
admission or arrangements must be made for 
an exam within six weeks after admission and 
annually thereafter. The facility shall 
document dental services in the child's record. 



tdj 



tu 



(4} 



Direct child care staff shall be instructed on 
medical care which may be given by them 
without specific orders from a licensed medical 
provider Direct child care staff shall be 
instructed in tfie procedures for obtaining 
medical care bevond home health care and 
handling medical emergencies. 
Hospital Care. The residential child care facility shall 
arrange with a hospital for the admission of children 
from the facility in thie event of serious illness or 
emergency. 
First Aid. 

(a) The residential child care facility shall obtain a 
mouthpiece, utilize universal precautions and 
other precautionary equipment for 
administering CPR for the children in 
residence. 



iS} 



(b) The residential child care facility shall ensure 
that first aid kits are available for immediate 
use in each living unit, recreation area and in 
vehicles used to transport children. 

On-Site Health Care. 

(a) The residential child care facility shall not 
engage in any home health care practices that 
conflict with the control measures for 
communicable diseases in 15A NCAC 19A 
.0200. A copy of I5A NCAC 19A .0200 may 



lb] 



tc] 



Id] 



be obtained from the Office of Administrative 
Hearings. PO Dravser 27447. Raleigh. North 
Carolina. (919) 733-2678. at a cost of two 
dollars and fifty cents ($2.50) at tfie time of 
adoption of this Rule. 

Direct child care staff shall be able to 
recognize common symptoms of illnesses in 
children and be alert to any infectious 
condition and take proper precautions to 
prevent the spread of such a condition. 
Direct child care staff shall be able to provide 
home health care. A thermometer shall be kept 
available for use. When there is risk of 
transmission, arrangements shall be made for 
isolation and attendant care of a child with a 
communicable disease. 
Prescription medications shall be administered 
only when approved by a licensed medica l 
proyider 



478 



^ORTH CAROLINA REGISTER 



September I, 1998 



13:5 



PROPOSED RULES 



(e) All medicines, prescription and non 
prescription, shall be stored in a locked cabinet, 
closet or box not accessible to children. 
(6) Medical Records. Each child shall have a medical 

record which contains: 

(a) Written consent from the legal custodian or 
parent authorizing routine medical and dental 
treatment and emergency treatment. 

(bj A medication log which documents all 
medications dispensed. 

(c) The preadmission physical examination, 
immunization records, and records of ongoing 
medical and dental care and examinations 
received, including but not limited to 
hospitalizations, significant illnesses or 
accidents and treatment provided. 

Authority G.S. 131D-I0.5: 143B-153. 

.0605 ROUTINE ASPECTS OF HEALTH, 

PERSONAL HYGIENE, AND SAFETY 

(a) Infection Control. Staff shall receive training in and 
routinely apply general infection control measures and 
procedures which shall include, but are not limited to. Universal 
Precautions specified by the Centers on Disease Control. U.S. 
Department of Health and Human Services. Public Health 
Services. Atlanta. Georgia. A copy of general infection control 
procedures may be obtained from National Technical 
Information Services. 5285 Part Royal Road. Springfield. 
Virginia. 22161. (703) 487-4650. at a cost of seven dollars 
($7.00) at the time of the adoption of this Rule. 

(b) Sleep. Each child in a residential child care facility shall 
have enough sleep for his age at regular and reasonable hours 
and under conditions conducive to rest. 

(c) Hygiene. Children shall be taught and helped to keep 
themselves clean. They shall receive training jn aM aspects of 
personal hygiene. 

(d) Toilet Articles. 

(1) Each child shall have his own toothbrush, comb, 
towel and wash cloth and his own separate place for 
keeping these personal articles. 

(2) Towels, wash cloths, and bed linens shall be changed 
weekly or more often as required by good hygiene. 

Authority G.S. 131D-10.5: 143B-153. 



.0606 NUTRITION 

(a) Meals served must meet 



nutritional requirements as 



advised by the National Research Council (Recommended Daily 
Dietary Allowances). 

(b) Any modified food needs of an individual child shall be 
provided under the direction of a licensed medical provider or a 
registered dietitian or nutritionist. 

(c) Menus shall be planned by or in consultation with a 
registered nutritionist or dietitian at least once per year. The 
facility shall obtain documentation of consultation. 

(d) Staff who eat with children shall be served the same food 
except for tea and coffee. An exception shall be made if 



differences in age or special dietary needs are factors. 
Authority G.S. 1310-10.5: 1436-153. 

.0607 HEALTH EDUCATION 

The residential child care facility shall develop and implement 
a plan for the provision of health education to include but not be 
limited to health, human sexuality, substance abuse, smoking, 
and prevention of sexually transmitted diseases. The health 
education plan shall be documented. 

Author it}- G.S I31D-10.5: 1 43 B- 153. 

.0608 EDUCATIONAL AND VOCATIONAL 
SERVICES 

(a) The residential child care facility shall ensure that each 
child of school age is provided an education in accordance with 
the public school laws or the nonpublic school laws of North 
Carolina. 

(b) The residential child care facility shall make provisions 
for remedial educational assistance as indicated by the needs of 
the children. 

(c) The residential child care facility shall have a policy about 
serving children who are temporarily or permanently not 
attending school. 

(d) The residential child care facility shall have a written 
policy for providing vocational and life skills education if 
applicable to the population served. 

Authority G.S. 1 31 D- 10.5: 1 43 B- 153. 

.0609 RECREATION AND LEISURE ACTIVITIES 

(a) The residential child care facility shall develop a written 
schedule of planned recreational, leisure, or physical exercise 
activities with input from both staff and children which meets 
their developmental needs, which shall be posted in each cottage. 

(b) The residential child care facility shall provide a variety 
of indoor and outdoor, individual and group recreational 
opportunities, with suitable space and competent adult 
supervision, appropriate to the age, interests, and needs of each 
child. 



(c) The residential child care facility shall provide 
recreational opportunities for children to play with children of 
both genders. An exception shall be made when the program 
cares for only one gender. 

(d) The residential child care facility shall have an 
individualized plan for any child who has special recreational 
needs. 



Authority G.S 13 ID- 1 0.5: 143B-153. 

.0610 RELIGION AND SPIRITUAL DEVELOPMENT 

(a) The residential child care facility shall have written 
policies and procedures on religious training and practices and 
shall provide these policies to children and their parents or legal 
custodians prior to admission. 

(b) The residential child care facility shall develop a plan for 
each child to meet the child's spiritual needs which takes into 



13:5 



NORTH CAROLINA REGISTER 



September 1, 1998 



479 



PROPOSED RULES 



account the parent's or leaal custodian's position regarding a 
child's religious participation. 

(c) The residential child care facilirv shall ha\e \sritten 
policies and procedures which include that each child js free 
from coercion u ith regard to religious decisions. 

Authorin-G.S. 131D-10.5: 143B-153. 

.0611 PERSONAL POSSESSIONS AND MONEY 

(a) The residential child care facilit\ shall allow each child to 
bring and acquire personal belongings, but shall retain the option 
to super\'ise or limit the use of these items uhile the child js in 
care. 



(b) The residential child care facilit^ shall ensure that each 
child has clean, well-fitting. attracti\e. seasonal clothing 
appropriate to the age, sex and indi\idual needs of each child. 

(c) The residential child care facilit^ shall ensure that each 
child has indi\idual items necessan. for personal h\giene and 
grooming. 

(d) The residential child care facilit% shall provide 
opportunities for each child to learn the value and use of mone\. 

(e) The residential child care facility shall provide security 
measures for each child's moneN separate from the agenc\'s 
financial accounts. 

Authohn- G.S. 131D-J0.5: I43B-153. 



.0612 



WORK 

The residential 



child care facilit\ shall provide 



opportunities for each child to learn the value of work and the 
de\elopment of good work habits. 

(b) The residential child care facilit\ shall compK uith the 
pro\isions of the NC Child Labor Law concerning age, abilities, 
hours of labor and hazardous occupations in the assignment of 
work to children. 



(c) The residential child facilit\ shall not substitute children 
for emploxed staff in assigning work 

(d) The residential child care facilit%- shall not require children 
to be soleK' responsible for an\ major phase of operation or 
maintenance of the home such as cooking, laundering. 
housekeeping, farming, or repair w ork. 

(e) The residential child care facility shall not require a child 
to work for the purpose of gaying the facility for his cost of care 
except w hen an older child moNing toward self-support enters 
into a contract with the facility in which he is paid for his work 
and assumes a gradual degree of responsibility for his own 
needs. 

(f) The residential child care facility shall pro\ ide children 
who are on work assignments with adult super\ ision. 

IgJ The residential child care facility shall ensure that 
children's work assignments do not interfere with school, 
recreation. stud\ period, adequate sleep, community contacts and 
family time. 

Authorin-G.S. 131D-10.5: 143B-153. 

.0613 DISCIPLINE AND BEH.WIOR MANAGEMENT 

(a) The residential child care facility shall ha\e written 



policies and procedures on discipline and beha\ ior management 
which shall be pro\ided to and discussed with aH children- 
parents or legal custodians, which include: 

( 1 ) Proacti\e means for interacting with and teaching 
children which emphasize praise and encouragement 
for exhibiting self control and desired beha\ior: and 

(2) Methods for protecting children and others when a 
child js out of control. 

(b) The residential child care facility shall implement 
standards for behavior which are reasonable and 
de\ elopmentalK appropriate. 

(c) The residential child care facility shall not engage in 
discipline or beha\ ior management which includes: 

( 1 ) Corporal ph\ sical punishment: 

(2) Cruel. se\ ere, or humiliating actions: 

(3) Discipline of one child by another child: 

(4) Denial of food, sleep, clothing or shelter: 

(5) Denial of familv contact, including familv time, 
telephone or mail contacts w ith famih : 

(6) Assignment of extremely strenuous exercise or work: 

(7) Verbal abuse or ridicule: 

(8) Chemical, mechanical, or physical restraints except as 
specified in 10 NCAC41S .0614(e): or 

(9) Locked rooms. 

(d) The residential child care facility shall prohibit isolation 
as a behavioral control measure except when the facility 
pro\ides it in an unlocked room \\ithin hearing distance of a 
staff member and the length of time alone js appropriate to the 
child's age and stages of development. 

(e) if physical restraints are used, the residential child care 
facility shall haye written policies and procedures on the types 
of and use of physical restraints which shall be discussed yvith 
each child, parents or legal custodian prior to or upon admission. 

( 1 ) The facility shall train and superyise staff in the safe 
use of physical restraint. 

(2) The facility shall documents each incident of physical 
restraint on an incident report which shall be filed in 
the child's record. 

(3) The facility shall assign supery isory staff to revjeyy 
and initial each incident report yvith in 24 hours of the 
physical restraint to evaluate that the correct steps 
were folloysed by the direct child care staff y\ho 
applied the phy sical restraint. 

.Authohn G.S. 131D-10.5: 143B-153. 

.0614 INCIDENT REPORTS 

(a) The residential child care facility shall have yyritten 
policies and procedures for reporting critical incidents. 

(b) The residential child care facility shall document critical 
incidents, including accidents or injuries to the child, acts of 
physical aggression by children, use of physical restraints by 
staff' and children y\ho run ay\ay from the facility, yvhich include: 

( 1) Name of child or children inyolved; 

(2) Date and time of incident: 

(3) Brief description of incident: 

(4) Action taken by staff: 

(5) Need for medical attention, if needed: 



480 



NORTH CAROLINA REGISTER 



September 1. 1998 



13:5 



PROPOSED RULES 



(6) Name of staff involved and person completing the 
report; 

(7) Name of child's legal custodian notified and date and 
time of notification; and 

(8) Signature of supervisory or administrative staff 
reviewing the report. 

Authority G.S. 131D-10.5: 143B-153. 

.0615 SEARCHES 

(a) The residential child care facility shall have written 
policies and procedures on conducting searches of children's 
rooms and possessions which shall be discussed with each child, 
their parents or legal custodian prior to or upon admission. 

(b) The search policies and procedures shall include: 

(1) Circumstances under which searches are conducted; 

(2) Personnel authorized to conduct searches; and 

(3) Provision for documenting searches and informing 
supervisory personnel of searches. 

Authority G.S. I31D-I0.5: 143B-153. 

SECTION .0700 - BUILDINGS, GROUNDS AND 
EQUIPMENT 

.0701 REQUIREMENTS FOR APPROVAL 

(a) Floor plans for new residential child care facilities 
housing six or fewer children all of whom are able to evacuate 
the facility without assistance must be submitted to and approved 
by the Division of Social Services. Children's Services Section 
as a condition for licensure, prior to beginning service/operation. 

(b) Floor plans for new and renovated existing residential 
child care facilities housing as many as seven and fewer than 10 
children and for residential child care facilities housing six or 
fewer, no more than 3 of whom are unable to evacuate the 
facility without assistance, must be submitted to and approved by 
the Department of Health and Human Services. Division of 
Facility Services. Construction Section prior to beginning 
construction. 

(c) Preliminary and final construction drawings for new 
facilities, conversions of existing facilities, or renovations of 
existing facilities housing 10 or more children must be submitted 
to and approved by the Department of Health and Human 
Services. Division of Facility Services. Construction Section 
prior to beginning construction. TTiree sets of drawings must be 
submitted to Construction Section for their review and 
distribution to the Division of Environmental Health and the 
Department of Insurance. 

(d) When a question arises in determining whether an existing 
building used for child care purposes meets the requirements of 
the North Carolina State Building Code, an interpretation must 
be obtained by submitting a floor plan of the building, together 
with details of construction, to the Department of Health and 
Human Services. Division of Facility Services. Construction 
Section. 

AuthoriPiG.S. I31D-I0.5: 143B-153. 



.0702 CONSTRUCTION AND RENOVATION 

(a) Construction plans for new, reconstructed or renovated 
buildings must be compatible with the residential child care 
function of the facility and its program needs. A residential 
child care facility must not have two unrelated types of 
occupancy in the same building. 

(b) The construction of a new residential child care facility, 
the conversion of an existing building for residential child care 
purposes, or the remodeling of an existing residential child care 
facility must comply with all applicable local zoning regulations 
and local and state building codes. 

Authority G.S. 13 ID- 10. 5: 1438-153. 

.0703 APPLICABLE BUILDING CODES 

(a) Newly constructed buildings to be used for residential 
child care purposes must meet the requirements of the North 
Carolina State Building Code [adopted by reference pursuant to 
G.S. 150B-14(c)] for the type of occupancy for which the 
building is to be used. 

(b) Residential child care facilities keeping 10 or more 
children must meet requirements for INSTITUTIONAL 
UNRESTRAINED OCCUPANCY of the North Carolina State 
Building Code and Volume I-C requirements for handicapped 
accessibility. 

(c) Residential child care facilities keeping as many as seven 
and fewer than 10 unrestrained children must meet the 
requirements of the North Carolina State Building Code Volume 
1 for "RESIDENTIAL CARE FACILITIES." 

(d) Residential child care facilities keeping six or fewer 
unrestrained children with no more than three unable to evacuate 
the facility without assistance must meet the North Carolina 
State Building Code Volume i for "RESIDENTIAL CARE 
FACILITIES." 

(e) Residential child care facilities keeping 6 or fewer 
unrestrained children who are able to evacuate the facility 
without assistance must meet the North Carolina State 
Residential Building Code Volume VII. 

(0 Mobile homes, whether mobile or permanently situated, 
shall not be used for residential child care facilities. 

.Authority G.S. 131D-I0.5: 1438-153. 

.0704 FIRE AND BUILDING SAFETY 

(a) An accessible non-pay telephone in each building must be 
provided with emergency telephone numbers posted at the 
telephone. 

(b) Care must be exercised by the staff in allowing children 
to use matches or to handle combustible materials. 

(c) Emergency plans and fire evacuation plans approved by 
the local fire authority must be developed and posted on each 
floor of each building. 

(d) Fire drills must be held monthly at different times during 
the day and quarterly at night for both children and staff. 
Documentation of fire drills must be kept. 

(e) The staff and children residing in a facility must be trained 
in the proper reporting of a fire and the ways of escaping from 
a fire. New residents must be instructed within the first day 



13:5 



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September 1, 1998 



481 



PROPOSED RILES 



upon admittance. 

(0 For even 2.500 square feel of floor area or portion thereof 
and for each floor there must be at least one fire extinguisher. 
Fire e.xtinizuishers must be pro\ided m accordance with the 
standards of the National Fire Protection Association Standard 
for Portable Fire Ext i nguishers NFPA Number 10. The\ must 
be inspected annualK and kept charged and filled at all times in 
accordance with NFPA Number 10. 

(g) For seven or more residents, each floor level must be 
separated from other floors in accordance w ith the requirements 
of the applicable building code, but b^ not less than walls and a 
solid core, self-closing. 20 minute fire-rated door. 

(h) Each floor level must be provided with a minimum of t\\'o 
remoteh -located exits. 

(_!} Fire exits and all exit-access paths includin g doors, 
hallways, and stairs, must be well lighted and kept clear of 
obstructions. 

(J) No locks shall be installed on exit or room doors \Nhich 
would pre\ ent occupants from getting out of the building bv the 
simple operation of a single knob or lever. 

(k) Emergency lighting must be provided for exiting from the 
building. 

£lj Windows in children's bedrooms must be openable without 
the use of keys or special tools. 

(m) Fire alarm and smoke detector sy stems must be installed 
in each child care facility in accordance y\ith applicable codes. 
be audible throughout the building, be kept in y\orking order and 
be readily identifiable by_ the staff and children. 

(n) All electrical and heating equipment must be listed bv a 
recognized testing agencv: the electrical wiring m the building 
must conform to the requirements stated [n the National 
Electrical Code for the applicable occupancy. 

(0) Hot water at fixtures used bv residents for bathing or 
hand-washing must be maintained at a minimum of 1 00 degrees 
Fahrenheit and a maximum of not more than 1 16 degrees 
Fahrenheit. 

Authorin- G.S. 131D-10.5: 143B-153. 

.0705 GENERAL SANITATION 

(a) The water supply, sevsage disposal, solid waste disposal, 
and food sery ice must meet applicable rules and regulations of 
the Division of Environmental Health. 



(b) Kitchens providing food service to 13 or more children 
must meet the requirements of "Rules Governing the Sanitation 
of Hospitals. Nursing Homes. Rest Homes. Sanitariums, and 
Educational and Other Institutions" prepared bv the Div ision of 
Environmental Health. 



(c) Kitchens providing food service to no more than 12 
children must meet the requirements of "Rules Governing the 
Sanitation of Residential Care Facilities" prepared by the 
Division of Environmental Health. 

(d) Laundry facilities must be prov ided. 

(e) To assure compliance with all local and state sanitation 
regulations, construction plans for sev en or more residents for a 
neyy child care facility, renovations of an existing building for a 
child care facility, or the reconstruction of" an existing child care 
facilin must be submitted to and approv ed by the counts health 



department in which the facility is located. 
Authority <JS. 1310-10.5: 143B-153. 

.0706 BATHING AND TOILET AREAS 

(a) After the effective date of these Rules, at least one toilet, 
one lav atoiA w ith hot and cold water, and one tub or shower with 
hot and cold w ater must be provided for each six children or 
fraction thereof For children under five years old a tub must be 
provided. 

(b) Toilet and bathing facilities for direct care staff must be 
separate from facilities used bv children living in the facilin. 

(c) Bathrooms must be located as conveniently as possible to 
the children's bedrooms. 



(d) The entrance to a bathroom must not be through another 
resident's bedroom or bathroom. 

Aiithorm-G.S. 131D-10.5: 143B-153. 

.0707 SLEEPING AREAS 

(a) Bedrooms in existing facilities licensed before October 
31. 1977 must provide a minimum of 60 square feet of floor 
space for each child in multi-occupancv bedrooms and a 
minimum of 80 square feet of fioor space jn single-occupancy 
bedrooms. Floor area shall not include closets or wardrobes. 

(b) Bedrooms in facilities licensed or dev eloped after October 
31. 1977 must provide a minimum of 80 square feet of floor 
space for each child in multi-occupancv bedrooms and a 
minimum of 100 square feet of floor space in single-occupancv 
bedrooms. Floor area shall not include closets or wardrobes. 

(c) Bedrooms in facilities housing children with a maximum 
stay of not more than 15 days must provide a minimum of 60 
square feet of floor space for each child in multi-occupancv 
bedrooms and a minimum of 80 square feet of floor space in 
single-occupancv bedrooms. Floor area shall not include closets 
or wardrobes. 

(d) The only door access to a bedroom must not be through 
another bedroom. 



(e) No child mav share a bedroom with a staff member. 
iX) No bedroom shall house more than four children, 
(g) Children of different sexes more than five years of age 
must not share a bedroom. 



(h) Each child must have a bed of his or her own. 

(jj Bunk beds shall be limited to no more than one bed above 
the other bed at least four feet apart vertically. 

(jj Beds must be at least three feet apart at the head, foot and 
sides: bunk beds must be at least fiv e feet apart, horizontally. 

(k) Each bed must be prov ided with a mattress in good repair. 

(JJ No day -bed, convertible sofa or other bedding of a 
temporary nature mav be used. 

(m) Bedrooms must be provided w ith a minimum of 48 cubic 
feet of closet or vv ardrobe space per child and four cubic feet of 
drawer space per child. 

(n) Each bedroom must be prov ided with w indow area equal 
to eight percent of the floor area of the room. 

Authot-m-G.S. 13ID-10.5: 1438-133. 



482 



NORTH CAROLINA REGISTER 



September I, 1998 



13:5 



PROPOSED RULES 



.0708 LIVING/ACTIVITY AREAS 

(a) The living/activiry areas must be accessible from an 
outside entrance w ithout going through sleeping, food service. 
or food preparation areas. 

(b) A minimum total living area of 200 square feet or 40 
square feet per child, whichever is greater, must be provided. 

(c) Each required living/ activity room must be provided with 
window area equal to eight percent of the floor area of the room. 

Authority- G.S. HID- 10. 5: 143B-I53. 

.0709 DINING AREAS 

(a) A minimum dining area of 120 square feet or 14 square 
feet per child, whichever is greater, must be provided convenient 
to the kitchen. 

(b) Each dining room must be provided with window area 
equal to eight percent of the floor area of the room. 

Authorities. I31D-10.5; 143B-153. 

.0710 HEAT, LIGHT AND VENTILATION 

(a) Heat. Heating equipment must be provided that maintains 
the temperature jn the facility at no less than 65 degrees 
Fahrenheit. 

(b) Ventilation. 

(1) Living rooms, dining rooms and bedrooms shall have 
openable w indows to the outside. 

(2) Rooms including toilets, baths, and kitchens, without 
openable windows must have mechanical ventilation 
to the outside. 

(c) Air conditioning or at least one fan per bedroom, living, 
and dining area must be provided when the temperature in the 
facility exceeds 85 degrees Fahrenheit. 

Authority G.S. 131D-W.5: 143B-153. 

.0711 EXTERIOR SPACE 

(a) Outdoor recreational space must be provided. 

(b) All structures on the grounds of the facility accessible to 
children must be free from hazards to health or safety. 

(c) The grounds of the facility and the outdoor recreational 
space must be maintained free from anv hazards to health or 
safety: 

(1) Garbage and rubbish which is stored outside must be 
stored securely in non-combustible, covered 
containers and must be removed on a regular basis. 

(2) Trash collection receptacles and incinerators must be 
kept separate from pla\ areas and must be located to 
avoid being a nuisance to neighbors. 

(3) Fences must be kept in good repair. 

(4) Areas determined to be unsafe, including but not 
limited to. steep grades, cliffs, open pits, swimming 
pools, high voltage boosters, and high-speed roads, 
must be fenced off or have natural barriers to protect 
children. 

(5) Play and recreational equipment must be located, 
installed, and maintained to ensure the safety of 
children. 



Authority G.S. 131D-10.5: 14 33- 153. 

.0712 INSPECTIONS 

The residential child care facility must request and obtain 
inspections at least annually from the local sanitarian and from 
the local building inspector or fire inspector. Reports of such 
inspections must be submitted to the licensing authority. 

Authority G.S. 131D-10.5: 143B-153. 

.0713 VEHICLES USED FOR TRANSPORTATION 
OF CHILDREN 

(a) Vehicle Requirements. 

(1) Vehicles must be in conformance with all motor 
vehicle laws and regulations for the State of North 
Carolina. 

(2) Vehicles must be maintained in a safe operating 
condition, must be properly registered, and must have 
a current, valid inspection sticker for the State of 
North Carolina. 

(3) A first-aid kit must be provided. 

£4} The bed of an open body or a stake bed vehicle must 
not be used for transporting children. 

(b) Driver Requirements. The names of and a photostatic 
copy of a valid driver's license for each person transporting 
children shall be maintained in a separate file. 

(c) Safety Practices. 

(1) The interior of each vehicle must be maintained in a 
clean and safe condition with clear passage to 
operable doors. 

(2) The driver must assure that all passengers follow 
current North Carolina laws regarding seat belt usage 
and shall adhere to child passenger restraint laws 
when transporting children. 

(3) The driver shall not transport more persons, including 
children and adults, than allowed by tlie design 
capacity of the vehicle. 

(4) Children shall not be transported for more than four 
continuous hours without a minimum of 30 minutes 
rest stop. 

(5) Children shall not be transported for more than 10 
hours in any 24 hour period. 

(d) Transportation Records. Insurance verification and the 
vehicle identification certificate must be kept in tjie vehicle in 
accordance with state law. 

(e) Insurance. If tlie residential child care facility's 
transportation services are provided by a private individual, a 
firm under contract, or b\ another arrangement, the facility must 
maintain a file copy of the individual's or firm's insurance 
coverage. 

(f) Emergency Transportation. The residential child care 
facility must have a plan for transporting children in case of an 
emergency. 

Authority G.S. 131D-10.5: 143B-153. 

SUBCHAPTER 41T - JVHNIMUM LICENSING 



13:5 



NORTH CAROLINA REGISTER 



September 1. 1998 



483 



s^ 



PROPOSED RULES 



STANDARDS FOR SPECIALIZED RESIDENTIAL 
CHILD CARE PROGRAMS 

SECTION .0100 - CHILDREN'S FOSTER CARE 
CAMPS 

.0101 APPLICABILITY 

In addition to the rules in iO NCAC 415. the rules in this 
Subchapter shall apply to al] persons licensed or seeking 
licensure for a children's foster care camp as defined jn K) 
NCAC4IS .0201. 



experience and the educational program shall compK 
with the appropriate requirements with special 
education of the Department of Public Instruction; or. 
each camp must be registered as and meet the 
requirements for a non-public school. 
(2) Education in a camp setting must be monitored and 
evaluated pursuant to either public or non-public 
school educational testing requirements to determine 
the child's achie\ement level. 

Authorises. I3ID-10.5: 143B-153. 



Authority (J. S. 131D-W.5: 143B-153. 

.0102 ADMISSION CRITERIA 

In order to be considered for admission into a foster care 
camp, a child shall meet the following criteria: 

(1) be between the ages of eight and 17 vears old: 

be phNsicalh able to participate m a camping 

experience: and 

voluntarily consent to admission. 



£2} 
13i 



recognizing- understanding the need for a therapeutic 
camping experience. 



Authority G.S. 131D-10.5: 143B-I53. 

.0103 PERSONNEL 

(a) Direct service personnel and supervisory personnel, in 
addition to supervision and training specified in 10 NCAC 415 
.0405(d). shall be provided supervision and training jn the 
following areas: 

(1) rescue evacuation, updated even' three vears: and 

(2) basic emergencs water safet^ course, with 
certification documented in the camp files and 
updated even, three \ ears. 

(b) There shall be a minimum of two counselors certified in 
Basic Rescue and Water Safet\ for each 10 children 
participating in activities invoking uater. including, but not 
limited to: swimming, boating, canoeing, and rafting. 

Authority G.S. 131D-10.5: 1438-153. 

.0104 SERVICE PLANNING 

Each child shall have a medical assessment, within 60 days 
prior to admission, documenting the child's abilit% to participate 
in the activities of a therapeutic camping experience in an 
outdoor setting. 

Authority G.S. 131D-10.5: 143B-153. 

.0105 SERVICE DELIVERY 

(a) An itinerar\ shall be on Hie at camp for any off-campus 
acti\ ir\ lasting longer than 24 hours. The itinerar\ shall include 
participants" names, daih schedule, list of check-in points- 
selected routes and telephone numbers of emergency resources 
along each route (sheriffs, hospitals, rescue squads). 

(b) Education. 

( 1) Each camp shall provide an alternative education 



.0106 BUILDINGS AND GROUND EQUIPMENT 

(a) Facilities. 
(1) All sleeping units must provide at least the following 
space: 

(A) 50 square feet p er person: 

(B) Three feet between the head, feet and sides of 
beds and sleepers: and 

(C) 30 inches between sides of beds. 
All camper sleeping facilities shall be limited to one 
level structures. 

Any structure, sleeping or otherwise, with an 
occupancy of more than 12 persons, including staff, 
shall have at least two separate and independent 



12} 
13J 



means of exit. 



t4J 



Open flame lighting shall not be used in sleeping 
shelters for lighting and heating, 
(b) Grounds: 



in 

(2] 



There shall be potable water available at each camp 

site. 

At each children's camp there shall be provided a 

minimum of 



m 

ID 
IDJ 
lEJ 



one shower head for each 20 children; 

one flush toilet for each 20 children; 

one urinal for each 30 male children (urinals 

ma\ not be substituted for flush toilets); 

one handwashing facility, adjacent to toilet 

facilities, for each 20 children; and 



an approved wilderness latrine facility. 
(c) Equipment: 
(1) Laundn. facilities or equipment shall be available at 
each camp for all staff and children. 



ill 



Gasoline, kerosene, and other flammable materials 
shall be stored rn covered safe containers plainly 
labeled as to content. 



(3) Power tools 



(AJ 



All power tools, including mowers and 
trimmers, must have 
devices and be 



IBJ 
ID 



the necessary safety 
used according to 
manufacmrer's instruction, maintained in good 
repair, and used onh by those persons trained 
and experienced in their safets. 
Campers shall receive safety instructions 
before using such equipment. 
When campers are using such equipment, a 
trained and responsible adult must be present. 
All power tools shall be stored in a locked 



484 



NORTH CAROLINA REGISTER 



September 1, 1998 



13:5 



PROPOSED RULES 



place not occupied by children when not in use. 

(4} Fire extinguishers must be available in aU areas so 

designated by fire safety officials and shall be 

properly charged and have a current inspection label. 

Authority G.S. 1310-10.5: I43B-153. 

SECTION .0200 - EMERGENCY SHELTER CARE 
PROGRAM 



facility during the child's stay in the program; 

(3) Information that specifies the expectations of the legal 
custodian during the child's stay in the program; 

(4) Specification of the anticipated length of the child's 
stay; and 

(5) Specification of the projected goals for the family 
during the child's stay in the program. 

Aiithorit\-G.S. 131D-10.5; 143B-153. 



.0201 APPLICABILITY 

In addition to the rules m JO NCAC 4 IS. the rules in this 
Subchapter shall apply to aM persons licensed or seeking 
licensure for an emergency shelter care program as defined in 10 
NCAC 4IS. 0201. 

Authority G.S. 131D-10.5: 143B-153. 

.0202 ADMISSION PROCEDURES 

(a) At the time of admission, the residential child care facility 
shall obtain the following information: 

(1) The name, sex, race, birth date and birth place of the 
child; 

(2) When available, the parents' names, addresses, 
telephone numbers, birth dates, races, religion and 
marital status; 

(3) When available, the names, addresses and telephone 
numbers of siblings and other significant relatives, a 
record of the child's prior placements with names of 
care givers, addresses and dates of care; and 

(4) If the child has had prior placements, the names of 
care-givers, addresses and dates of prior placements. 

(b) Within 72 hours of admission, the facility shall obtain the 
following: 

(1) a written agreement for admission from the legal 
custodian; 

(2) consent for release of information; 

(3) consent for emergency medical treatment; and 

(4) consent for family time/visitation. 

(c) Within two weeks of admission, the facility shall obtain 
the following: 

(1) Report of the physical examination in accordance with 
10 NCAC41S.0604(a)(n;and 

(2) A social summary which includes background 
information on the child, his/her family, his/her 
presenting problems, and current circumstances. 

Authority G.S. 131D-I0.5: 1438-153. 

.0203 ADMISSION CRITERIA 

The residential child care facility shall enter into and obtain a 
written agreement from the child's legal custodian within 72 
hours of the child's admission which contains the following: 

( 1) A statement documenting the legal custodian's 
authority to place the child and designating the legal 
custodian's consent for the child's admission; 

(2) Information which sets forth the role and 
responsibilities to be performed by the staff in the 



.0204 RECORDKEEPING 

Client case record. An individual case record shall be 
maintained on each child which contains the following: 

(1 ) Written consent for placement; 

(2) Documentation of placement authority-; 

(3) Demographic information on child and the child's 
family; 

(4) Consents for release of information, emergency 
medical treatment, family time/visitation; 

(5) Medical records, including the child's physical and 
immunization records; 

(6) Social summary; 

(7) Individualized service plan and biweekh reviews, 
including family time plan; 

(8) Progress notes; and 

(9) Discharge summary. 

Authority G.S 13ID-10.5: 1438-153. 

.0205 SERVICE PLANNING 

Within one week of admission, an individualized service plan 

shall be developed and reviewed evep>' other week, thereafter, by 

the shelter home staff, parents and legal custodian of the child. 

when appropriate. TTie individualized service plan shall include: 

( 1 ) The expectation and goals to be reached bv the child 

while in care; 

The tasks and activities of the shelter home staff to 



12] 
tli 

15j 
16] 



meet the needs of the child while in care; 

The tasks and activities of the parents and legal 

custodian to meet the needs of the child while in care; 

The projected discharge plan; 

The projected length of stay; 

The signatures of the shelter staff, the child, the 

child's parents and the child's legal custodian if 

different fi'om the child's parents. 



Authority G.S 131D-10.5: 1438-153. 

.0206 DISCHARGE SERVICES 

(a) The residential child care facility shall establish a policy 
which specifies that no child shall remain in care longer than 90 
days. An exception may be made to this policy if the facility has 
an established policy which specifies the length of time and the 
circumstances b\ which a child will remain in shelter care longer 
than 90 days. 

(b) Prior to discharge, the staff of the residential child care 
facility shall develop a plan with the child to determine if follow- 
up services will be provided, the type of services to be provided 



13:5 



NORTH CAROLINA REGISTER 



September 1, 1998 



4H5 



PROPOSED RULES 



and the timeframe for conducting these services. 
Authority G.S. I3ID-10 5: 143B-153. 



Notice is hereby given in accordance with G.S. 150B-21.2 
that the Social Services Commission intends to amend the 
rule cited as 10 SCAC 42C .2301. Notice of Rule-making 
Proceedings was published in the Register on May 15. 1998. 

Proposed Effective Date: May 1. 1999 

A Public Hearing will he conducted at 10:00 a.m. on October 
14. 1998 at the Albemarle Building. Room 943-2. 325 A'. 
Salisbury Street. Raleigh. A'C 

Reason for Proposed Action: Tlie Social Services Commission 
requested that DFS amend 10 NCAC 42C .2301 to ensure 
notification of an aduU care home resident's responsible person 
of certain cases of injury to or illness of the resident and 
incidents of the resident falling or wandering from the home. 

Comment Procedures: Comments may be presented anytime 
before or at the public hearing or orally at the hearing. Time 
limits for oral remarks may be imposed by the Commission 
Chairman. Any person may request copies of this rule by 
calling or writing to Sharnese Ransome. APA Coordinator 
Social Senices Commission. NC Division of Social Services, 
325 .\. Sal is bun- Street. Raleigh, NC 2'603, phone. (9 19)' 33- 
3055. 

Fiscal Note: This Rule does not affect the expenditures or 
revenues of state or local government funds. This Rule does not 
ha^'e a substantial economic impact of at least five million 
dollars (55.000,000) in a 12-month period. 



CHAPTER 42 



INDIVIDUAL AND FAMILY 
SUPPORT 



SUBCHAPTER 42C - LICENSING OF FAMILY 
CARE HOMES 

SECTION .2300 - SERVICES 

.2301 PERSONAL CARE 

Responsible staff nrost shall be on dut} at all times to: 

(1) Encourage and assist residents to care for their 
grooming, clothing, and toilet articles. This includes 
care of bod\. hain gums, teeth, dentures, fingernails, 
clothing and personal items (comb, brush, etc.): 

(2) Allow all residents freedom of movement: 

(3) Assist residents, when necessan,; on an individual 
basis with their bathing, dressing, eating, walking, 
going up and down steps, correspondence, shopping, 
and scheduling of medical and business appointments, 
as well as attend to an>- personal needs residents mav 
be incapable of or unable to attend for themselves; 



(4) Supervise, on an individual basis, residents who 
smoke and need super\'ision. The degree of 
supervision will be at the discretion of the 
administrator or superv isor-in-charge. The home nw&t 
shall have a written policy on smoking: 

(5) Evacuate all residents in an emergencN': 

(6) Assure that residents are dressed in appropriate 
clothing when using the living room, dining room and 
recreational areas, or when the resident leaves the 
home for activities in the community : 

(7) Respond immediate]} in case of an accident or 
incident involving a resident, and make a proper 
report of it. as follows: 

(a) The administrator or superv isor-in-charge must 
shall notify the county department of social 
services within 24 hours of any incident or 
accident which results in injury to a resident. 
A report is to be made if there is any reason to 
believe that a resident has been injured. Form 
DSS 1870 DFS-;i89 is to be completed by the 
administrator or supervisor-in-charge and 
mailed to the counfy department b\' the next 
working da\. This written report mu s t shall 
indicate how. when and where the incident or 
accident occurred, the nature of the injurv. and 
what was done for the r e sid e nt: resident and 
time of notification or attempts at notification 
of the responsible person or contact person as 
required in Subpart (7)(c)(i) of this Rule: 

(b) The administrator or supervisor-in-charge must 
shall immediateK notifv the countv department 
of social services and the local law 
enforcement authority, as appropriate, of any 
mental or phvsical abuse, neglect or 
exploitation of a resident in accordance with 
General Statute 108A-99. The administrator 
and superv isor-in-charge must shall cooperate 
with the county department of social services 
in its investigation of the matter: and 

(c) The administrator or supervisor-in-charge shall 
assure the notification of a resident's 
responsible person or contact person, as 
indicated on the Resident Register, of the 
following, unless the resident or his 
responsible person or contact person objects to 
such notification: 

(i) any injury to or illness of the resident 
requiring medical treatment or referral 
for emergency medical evaluation, with 
notification to be as soon as possible but 
no later than 24 hours from the time of 
the initial discover, or knowledge of the 
injury or illness by staff and 
documented in the resident's file: and 

(ii) any incident of the resident falling or 
yvandering from the home's premises 
which does not result in injury requiring 
medical treatment or referral for 



486 



NORTH CAROLISA REGISTER 



September /. 1998 



13:5 



PROPOSED RULES 



emergency medical evaluation, with 

notification to be as soon as possible but 

no later than 48 hours from the time of 

initial discovery or knovt'ledge of the 

incident by staff and documented in the 

resident's file, except for wandering 

incidents requiring immediate 

notification according to 10 NCAC 42C 

■2305(f^(4). 

(8) Encourage and assist the residents in the fullest 

possible exercise of the civil and religious liberties 

guaranteed under the Domiciliary Adult Care Home 

Residents' Bill of Rights, G.S. 1 3 1 D-2 1 . 

Authority G.S. 131D-2: 143B-153. 

******************** 

Notice is hereby given in accordance with G.S. 150B-21.2 
that the Commission for Mental Health. Developmental 
Disabilities and Substance Abuse Services intends to amend the 
rule cited as 10 NCAC 45 H .0205. Notice of Rule-making 
Proceedings was published in the Register on April 1, 1998. 

Proposed Effective Date: April 1. 1999 

Instructions on How to Demand a Public Hearing A demand 
for public hearing must be requested in writing within 15 days 
of this notice and addressed to Charlotte F. Hall, Division of 
MH/DD/SAS 325 N. Salisbury Street. Raleigh. NC 27603-5906. 

Reason for Proposed Action: In order to be consistent with 
actions by the Drug Enforcement Administration in placing 
Butorphanol and Sibutramine in SCHEDULE IV of the 
Controlled Substances Act. 

Comment Procedures: Written comments should be submitted 
to Charlotte F. Hall. Rule-making Coordinator Division of 
Mental Health Developmental Disabilities and Substance Abuse 
Services. 325 N. Salisbuiy Street. Albemarle Building. Suite 
1156. Raleigh. NC 27603-5906. 

Fiscal Note: This Rule does not affect the expenditures or 
revenues of state or local government funds. This Rule does not 
have a substantial economic impact of at least five million 
dollars ($5. 000. 000) in a 12-month period 

CHAPTER 45 - COMIMISSION FOR MENTAL 

HEALTH, DEVELOPMENTAL DISABILITIES 

AND SUBSTANCE ABUSE SERVICES 

SUBCHAPTER 45H - DRUG TREATMENT 
FACILITIES 



.0205 SCHEDULE IV 

(a) Schedule IV shall consist of the drugs and other substances 
by whatever official name, common or usual name, chemical 
name or brand name designated listed in this Rule. Each drug or 
substance has been assigned the Drug Enforcement 
Administration controlled substances code number set forth 
opposite it. 

(b) Depressants. Unless specifically excepted or unless listed 
in another schedule, any material, compound, mixture or 
preparation which contains any quantity of the following 
substances, including its salts, isomers and salts of isomers 
whenever the existence of such salts, isomers and salts of 
isomers is possible within the specific chemical designation: 



SECTION .0200 



SCHEDULES OF CONTROLLED 
SUBSTANCES 



(1) 


Alprazolam 


2882 


(2) 


Barbital 


2145 


(3) 


Bromaze 


2748 


(4) 


Camazepam 


2749 


(5) 


Chloral betaine 


2460 


(6) 


Chloral hydrate 


2465 


(7) 


Chlordiazepoxide 


2744 


(8) 


Clobazam 


2751 


(9) 


Clonazepam 


2737 


(10) 


Clorazepate 


2768 


(11) 


Clotiazepam 


2752 


(12) 


Cloxazolam 


2753 


(13) 


Delorazepam 


2754 


(14) 


Diazepam 


2765 


(15) 


Estazolam 


2756 


(16) 


Ethchlorvynol 


2540 


(17) 


Ethinamate 


2545 


(18) 


Ethyl loflazepate 


. 2758 


(19) 


Fludiazepam 


2759 


(20) 


Flunitrazepam 


2763 


(21) 


Flurazepam 


2767 


(22) 


Halazepam 


2762 


(23) 


Haloxazolam 


2771 


(24) 


Ketazolam 


2772 


(25) 


Loprazolam 


2773 


(26) 


Lorazepam 


2885 


(27) 


Lormetazepam 


2774 


(28) 


Mebutamate 


2800 


(29) 


Medazepam 


2836 


(30) 


Meprobamate 


2820 


(31) 


Methohexital 


2264 


(32) 


Methylphenobarbital (mephobarbital) 


2250 


(33) 


Midazolam 


2884 


(34) 


Nimetazepam 


2837 


(35) 


Nitrazepam 


2834 


(36) 


Nordiazepam 


2838 


(37) 


Oxazepam 


2835 


(38) 


Oxazolam 


2839 


(39) 


Paraldehyde 


2585 


(40) 


Petrichloral 


2591 


(41) 


Phenobarbital 


2285 


(42) 


Pinazepam 


2883 


(43) 


Prazepam 


2764 


(44) 


Quazepam 


2881 


(45) 


Temazepam 


2925 



13:5 



NORTH CAROLINA REGISTER 



September I, 1998 



PROPOSED RULES 



(46) Tetrazepam 2886 

(47) Triazolam 2887 

(48) Zolpidem 2783 

(c) Fenfluramine. An\ material compound, mixture or 
preparation which contains an\ of the following substances 
including its salts, isomers (whether optical, position or 
geometric) and salts of such isomers whenever the existence of 
such salts, isomers and salts of isomers is possible: 

Fenfluramine 1670 

(d) Stimulants. Unless speciflcalK excepted or unless listed 
in another schedule, any material, compound, mixture, or other 
preparation which contains any quantity of the following 
substances having a stimulant effect on the central nervous 
system, including their salts, isomers (whether optical, position, 
or geometric), and salts of such isomers whenever the existence 
of such salts, isomers, and salts of isomers is possible within the 
specific chemical designation: 

(1) Cathine [( + )-norpseudoephedrine] 1230 

(2) Diethylpropion 1610 

(3) Fencamfamin 1760 

(4) Fenpropore.x 1575 

(5) Mazindol 1605 

(6) Mefenorex 1580 

(7) Phentermine 1640 

(8) Pemolin (including organometallic complexes and 
chelates thereoO 1530 

t9j Sibutramine 1675 

(e) Other Substances. Unless specifically excepted or unless 
listed in another schedule, any material, compound, mixture or 
preparation which contains an\ quantity of the following 
substance, including its salts: 

(1) Butorphanol (including its optical isomers) 9720 
f+4t2] Pentazocine 9709 

(^ID Pipradrol 1750 

(^4(4} SPA [(-)-l-dimethylamino-1.2- 
diphen\lethane] 1635 

(f) Narcotic Drugs. Unless specificalK excepted or unless 
listed in another schedule. an\ material, compound, mixture or 
preparation containing limited quantities of an\ of the following 
narcotic drugs, or an\ salt thereof: 

( 1 ) not more than one milligram of difenoxin and not less 
than 25 micrograms of atropine sulfate per dosage 
unit. 9167 

(2) Dextropropoxyphene 
(alpha-(8f)-4-dimeth\lamino-1.2-diphen\l-3- 
meth}l-2-propionoxy butane). 9278 

(3) Buprenorphine 9064 

Authohn-G.S. 90-88: 90-92: N3B-147. 



TITLE 11 - DEPARTMENT OF INSURANCE 

Notice is hereby given in accordance with G.S. 150B-21.2 
that the NC Department of InsiirunceManiifactured 
Housing Board intends to adopt t/ie rule cited as 11 NCAC 8 
.0912. Notice of Rule-making Proceedings was published in tlie 
Register on July 1. 1998. 



Proposed Effective Date: .4pril 1. 1999 

A Public Hearing will be conducted at 2:00 p.m. on September 
16. 1998 at 410 X. Boy Ian .4venue. Raleigh. NC. 

Reason for Proposed Action: 777/s rule is required to establish 
examination guidelines and procedures. 

Comment Procedures: Written comments should be sent to 
Patrick Walker c/o NC Department of Insurance, 410 N. Boylan 
.■ivenue. Raleigh. NC 2^603, (919) '735-3901. 

Fiscal Note: This Rule does not affect the expenditures or 
revenues of state or local government funds. This Rule does not 
have a substantial economic impact of at least five million 
dollars (S5. 000.000) in a 12-month period. 

CHAPTER 8 - ENGINEERING AND BUILDING 
CODES DIVISION 



SECTION .0900 



MANUFACTURED HOUSING 
BOARD 



.091 2 SET-UP CONTRACTOR EXAMS 

(a) Definitions. The definitions contained in G.S. 143-143.9 
are incorporated into this Rule by reference. As used in this 
Rule, "qualifier" means an individual taking the examination on 
behalf of an applicant that is not an individual. 

(b) Examination Required. Each applicant for a set-up 
contractor's license shall pass a written examination 
administered b\ the Board before the Board will issue a license 
to the applicant. EverN applicant shall be required to pass the 
examination with a grade of at least 70 percent. An applicant 
who does not pass the examination shall be allowed to retake the 
examination. 

(c) Time and Place of Examinations. The Board shall 
administer examinations in its offices in Raleigh. The Board 
shall announce the time and place for each examination at least 
10 da\s before the date of the examination. 

(d) Application Process. Each applicant shall complete an 
application on a form provided by the Board. If the applicant is 
not an individual, the applicant shall identify on the application 
an\ individuals who will take the examination for the applicant. 
In order to take an examination on a particular date, an applicant 
shall file a completed application no later than 30 days before 
the scheduled date of the examination. 

(e) Person Taking Examination. A qualifier shall be 
associated with the applicant, and shall be actively engaged in 
the work of the applicant for a minimum of 20 hours per week. 
or a maioritv of the hours operated by the appl icant. whichever 
is less. Each licensee shall notify the Board in writing within 10 
da\s after any qualifier no longer meets the preceding 
requirements. If one qualifier fails, and another passes, the 
license will be granted to that applicant. An individual shall not 
ser\'e as a qualifier for more than one license. The applicant ma\ 
have more than one individual serve as a qualifier. 

(f) Subject Matter. The set-up contractor examination shal l 
include the following subjects: 



488 



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September L 1998 



13:5 



PROPOSED RULES 



(1) The State of North Carolina Regulations for 

Manufactured/Mobile Homes. 
[2} The provisions of G.S. 143. Articles 9A and 9B. 
Oj The Rules of the Board. 

(4) Federal and State laws and rules governing the set-up 
of a manufactured home, 
(g) General Requirements. All applicants scheduled for an 
examination shall bring a form of identification with a current 
picture. No visitors shall be allowed in the testing room. 

(h) Special Arrangements for the Disabled. If an applicant 
has a disability which will require special arrangements to take 
an examination, the applicant shall request in writing that 
appropriate special arrangements be made. The Board shall 
make reasonable accommodations for applicants requesting 
assistance pursuant to this Rule. 

ti) Cheating and Related Misconduct. Applicants shall not 
cheat or attempt to cheat on an examination by any means, 
including both giving and receiving assistance, and shall not 
communicate in any manner for any purpose with any person 
other than staff members for the Board during an examination. 
ij} Notification of Results. The examination results shall be 



A Public Hearing m/// he conducted at 10:00 a.m. on 
September 24. 1998 at 430 N. Salisbury Street. Raleigh. NC. 

Reason for Proposed Action: N.41C has made changes In 
Long-Term Car Model Regulations - these rules reflect these 
changes by enabling long-term care providers to be subject to 
similar rules in most states. 

Comment Procedures: Written comments should be sent to 
Theresa Shackelford, NC Department of Insurance. Life and 
Health Division, PO Box 26387. Raleigh,' NC 27601. (919) 733- 
5060. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local governtJient funds. These Rules do not 
have a substantial economic Impact of at least five million 
dollars (S3. 000.000) in a 12-month period. 

CHAPTER 12 - LIFE AND HEALTH DIVISION 

SECTION .1000 - LONG-TERM CARE INSURANCE 



mailed to tlie applicant at the address on the application form 
within 30 days after the examination. Passing applicants shall 
receive onK a grade of "pass." 

(k) Review of Examinations. Upon the applicant's written 
request, made within 30 days after the written notification of the 
examination results, an applicant who did not pass the 
examination shall be allowed to review his examination. The unstabl e — aed — r e quir e s — fr e qu e nt — monitoring — by — m e dical 



.1003 POLICY DEFINITIONS; APPEALS 

(a) No policy s hall us e th e words or terms nam e d in this Rul e 
unl e ss th e y ar e defined in th e policy and th e definitions satisfy' 
th e r e quir e m e nts in this Rul e . 

(b) "Acut e condition" means that th e individual is m e dically 



review shall be at the Board's offices, at a time schedule by the 
Board's staff. An applicant shall review his examination in the 
presence of a staff member of tlie Board and shall not be 
accompanied by any other individual at a review session. No 
other individual shall review an examination on behalf of the 
applicant. An applicant shall not be permitted to cop\ a question 
or answer contained in tlie examination report or alter an 
examination paper in an\ way. An applicant who has passed the 
examination shall not be permitted to reviev\ his examination. If 
the applicant is not an individual, the review of the examination 
shall be made b\ the applicant's qualifier. 

(Jj Exemption. Each person who has a set-up contractor 
license on June 30. 1999. shall be exempt from examination 
requirements. Each person who has a set-up contractor license 
shall be allowed to renew his license each year without 
examination. 



.Authority G.S 143-143. 10(b)(4): 143-1 43. 11(h). 
******************** 

Notice is hereby given in accordance with G.S. 150B-21.2 
that the NC Department of Insurance Intends to adopt the 
rules cited as II NCAC 12 . 1025, . 1026. . 1212 and amend the 
rule cited as 11 NC.4C 12 .1003. Notice of Rule-making 
Proceedings was published in the Register on July 1. 1998. 

Proposed Effective Date: April 1. 1999 



prof e ssionals, such as physicians and r e gist e r e d nurses, in ord e r 
to maintain his h e alth s tatus. 

(c) "M e dicar e " m e ans th e "Health Insuranc e for the Ag e d Act". 
Title XVlll of th e Social Security Am e ndm e nt s of 1965. as 
amend e d. 

(d) "M e ntal or n e rvou s di s order" do e s not include more than 
n e uro s i s , psychon e uro s is. p s Nchopathy. psychosi s , or m e ntal or 
e motional dis e as e or disord e r. 

(a) No policN issued or issued for delivery in this State shall 
use the terms set forth in this Rule, unless the terms are defined 
in the policN and thie definitions satisfy the following 
requirements: 

(1) "Activities of daily living" means at least bathing, 
continence, dressing, eating, toileting, and 
transferring. 

(2) "Acute condition" means that the individual is 
medically unstable and requires frequent monitoring 
by a medical doctor or registered nurse. 

(3) "Bathing" means washing oneself by sponge bath, or 
in a tub or shower, including the task of getting into 
and out of the tub or shower. 

(4) "Cognitive impairment" means a deficiency in a 
person's short or long-term memory; orientation as to 
person, place, and time; deductive or abstract 
reasoning; or judgment as it relates to safety 
awareness. 

(5) "Continence" means the ability to maintain control of 
bowel and bladder function; or. when unable to 
maintain control of bowel or bladder function, the 



13:5 



NORTH CAROLIN.4 REGISTER 



September 1, 1998 



489 



PROPOSED RULES 



£6) 



£7} 



m 



m 



10) 



abilit\ to perform associated personal h\aiene 
(including caring for catheter or colostom\ bag). 
"Dressing" means putting on and taking off all items 
of clothing and an\' necessary braces, fasteners, or 
artificial limbs. 

"Eating" means feeding oneself b\ getting food into 
the bod\ from a receptacle (such as a plate, cup, or 
table): or b\ a feeding tube or intravenousK. 
"Hands-on assistance" means ph\sical assistance 
(minimal, moderate, or maximal) without which the 
individual would not be able to perform the acti\irs of 
daiK living. 

"Medicare" means the "Health Insurance for the Aged 
Act". Title XVlll of the Social Security' Amendments 
of 1965. as amended. 



"Mental or nervous disorder" shall not be defined to 
include more than neurosis. ps\choneurosis. 



ps\chopath\. psNchosis. or mental or emotional 

disease or disorder 

"Personal care" means the pro\ision of hands-on 

services to assist an individual with activities of daiK 

living. 



( 12) "Toileting" means getting to and from the toilet. 



03} 
(14) 



getting on and off the toilet, and performing 
associated personal h\ giene. 

"Transferring" means moving into or out of a bed- 
chair, or wheelchair 

"Skilled nursing care." "intermediate care." "personal 
care." "home care." and other services shall be 
defined in relation to the level of skill required, the 
nature of the care, and the setting jn which care must 
be delivered. 

(b) The definitions contained in G.S. 58-55-20 and G.S. 58- 
55-35(a) are incorporated b\ reference into this Section. 

(c) A policN ma\ condition the pa\ment of benefits on a 
determination of the insured's abilirs to perform acti\ities of 
daiK li\ing and on cogniti\e impairment as long as those 
conditions are defined in the polic\. Assessments of activities 
of daiK li\ing and cogniti\e impairment shall be performed b\ 
licensed or certified professionals, such as medical doctors, 
nurses, or social workers. Policies shall include a descriptions of 
the procedures for appealing and resoKing benefit 
determinations. 

Authorin- G.S. 58-2-40(1): 58-55-30(a). 

.1025 SUITABILITY 

(a) Each insurer except an insurer issuing life insurance that 
accelerates benefits for long-term care, shall: 

( 1) Train its agents in the use of its suitabilirv standards. 

(2) Maintain a cop\' of its suitabiliu standards and make 
them a\ailable for inspection upon request by the 
Division. 

(b) To determine whether the applicant meets the standards 
developed by the insurer the agent and insurer shall deselop 
procedures that take the following into consideration: 

( 1) Tlie abilitN to pa\ for the proposed co\erage and other 
pertinent financial information related to the purchase 



of the coverage. 

(2) The applicant's goals or needs with respect to long- 
term care and the advantages and disadvantages of 
insurance to meet these goals or needs. 

(3) The values, benefits, and costs of the applicant's 
existing insurance, if anN. when compared to the 
values, benefits, and costs of tlie recommended 
purchase or replacement. 

(c) The sale or dissemination of information obtained under 
this Rule b\ an insurer or an agent to any person outside of the 
insurance company or insurance agencv is prohibited. 

(d) Each \ ear the insurer shall report to the Division the total 
number of applications received from residents of this State, the 
number of applicants who provided information on the 
Worksheet, the number of applicants who did not meet the 
suitability standards, the number of those who chose to confirm 
after receiving a suitability letter 

(e) An insurer mav issue a policy to an applicant that does not 
meet the financial suitability standards if the applicant signs a 
yvaiver acknoys ledging the suitability results. 

.Authorin- G.S. 58-2-40(1): 58-55-30(a): 58-55-31. 

.1026 NONFORFEITURE BENEFIT 
REQUIREMENTS 

(a) G.S. 58-55-3 1(a) does not apply to insurers issuing life 
insurance that accelerates benefits for long-term care. 

(b) Nonforfeiture benefits shall not exceed the maximum 
benefits that would have been payable before the policy lapse. 

(c) Premiums charged for a policy containing nonforfeiture 
benefits shall be subject to tlie loss ratio requirements of the 
policy as a whole. 

(d) This Rule applies only to policies newly issued on and 
after April 1. 1999. 

.Authorin- G.S. 58-2-40(1): 58-55-30(a): 58-55-31. 

SECTION .1200 - ACCELERATED BENEFITS 

.1212 LONG-TERM CARE BENEFITS 
ACCELERATION 

(a) An insurer that issues life insurance policies or annuities 
that accelerate benefits for long-term care shall comply with 1 1 
NCAC 12 .1010 if the policy being replaced is a long-term care 
insurance policy. If the policy being replaced is a life insurance 
policy, the insurer shall comply yvith \\_ NCAC 12 .0611. If a 
life insurance policy that accelerates benefits for long-term care 
is replaced by another life insurance policy that accelerates 
benefits for long-term care, the replacing insurer shall comply 
with 11 NCAC 12 .1010 and H NCAC 12 .0611. 

(b) 11 NCAC 12 .1013 does not apply to Hfe insurance 
policies that accelerate benefits for long-term care. A life 
insurance policy that funds long-term care benefits entirely by 
accelerating the death benefit is considered to provide 
reasonable benefits in relation to premiums paid, if the policy 
complies with all of the folloy\ing provisions: 

( I) The interest credited internally to determine cash 
\alue accumulations, including long-term care, if any. 



490 



NORTH CAR0LI.\.4 REGISTER 



September 1, 1998 



13:5 



PROPOSED RULES 



are guaranteed not to be less than the minimum 
guaranteed interest rate for cash value accumulations 
without long-term care set forth in the policy. 
(2) The portion of the policy that provides life insurance 
benefits meets the nonforfeiture requirements of G.S. 
58-58-55. 
The policy meets the disclosure requirements of G.S. 



14} 
£5} 



58-55-30. 

Any policy illustration that meets the applicable 

requirements of 1 1 NCAC 4.0501. 

An actuarial memorandum is filed with the Division 

that includes: 

(A} A description of the basis on which the long- 
term care rates were determined. 

(B) A description of the basis for the reserves. 

£Q A summary of the type of policy, benefits, 
renewability. general marketing method, and 
limits on apes of issuance. 

(D) A description and a table of each actuarial 
assumption used. For expenses, an insurer must 
include percent of premium dollars p er policy 
and dollars per unit of benefits, if any. 

(E) A description and a table of the anticipated 
policy reserves and additional reserves held in 
each future year for active lives. 

(F) The estimated average annual premium per 
policy and the average issue age. 

(G) A statement as to whether underwriting is 
performed at the time of application. The 
statement shall indicate whether underwriting 
is used and, if used, the statement shall include 
a description of the type or types of 
underwriting used, such as medical 
underwriting or functional assessment 
underwriting. For a group policy, the statement 
shall indicate whether the enrol lee or any 
dependent will be underwritten and when that 
underwriting occurs. 

£H} A description of the effect of the long-term 
care policy provision on the required 
premiums, nonforfeiture values, and reserves 
on the underlying life insurance policy, both 
for active lives and those jn long-term care 
claim status. 



Authoring G.S. 58-2-40(1): 58-55-30(a): 58-58-1; 58-58-40. 



TITLE 15A - DEPARTMENT OF ENVIRONMENT 
AND NATURAL RESOURCES 

Notice is hereby given in accordance with G.S. 150B-2I.2 
that the Department of Environment and Natural 
Resources intends to adopt the rule cited as 15A NCAC 2H 
. 0226. Notice of Rule-making Proceedings was published in the 
Register on April 15, 1998. 



Proposed Effective Date: April 1. 1999 

Instructions on How to Demand a Public Hearing A demand 
for a public hearing must be requested in writing and mailed to 
Kim H. Colson, Non-Discharge Permitting Unit, PO Box 29535, 
Raleigh, NC 27626. The demand must be received within 15 
days of this notice. 

Reason for Proposed Action: The legislature enacted the 
Clean Water Responsibility and Environmentally Sound Policy 
Act (HB 515) during the 1997 General Assembly Session which 
included as Part 1. a moratorium on the permitting of new and 
expanding swine operations. HB 515 included several 
exceptions to the moratorium listed in Section 1.1(b). The last 
of these exceptions is a provision which allows the permitting of 
innovative animal waste systems that do not employ anaerobic 
lagoons. The Statutes do not define innovative nor an anaerobic 
lagoon. There has been debate regarding the definitions of 
innovative and anaerobic lagoon in the regulated community, 
affected groups, and legislative committees. The Joint 
Legislative Administrative Procedures Oversight Committee has 
recommended to the Department (verbally) that rule making 
should proceed to define these terms. An initial inquiry to the 
Department's definition was made in January 1998. Under the 
normal rule making process, a permanent rule could not be 
adopted prior to the expiration of the moratorium. The 
moratorium is effective until the statutory deadline established 
in 1997 NCSess. LaM's, ch. 458. Sec. 1.1(a). Additionally there 
are statutory requirements (NCGS 143-215. IOC) requiring 
actions on permit applications within set time frames. If 
permanent rules were pursued without temporary rules, no 
criteria would be established for permitting innovative systems 
during the moratorium. Criteria is needed to avoid confusion 
regarding these permitting actions. Confusion has been 
expressed by the public, legislative bodies, other government 
agencies, researchers, new technology providers, and 
applicants. Items that have generated confusion are: what is 
considered innovative: is a lagoon anaerobic if it utilizes any 
anaerobic process; how many of the same system would be 
permitted under the exception: does HB 515 unduly restrict 
research on potential systems at state or federal facilities: what 
are the goals of a proposed innovative system: and does an 
innovative need to address odor The new rule will set forth the 
needed criteria and definitions for permitting these systems 
under HB 515 including: what is considered innovative, an 
anaerobic lagoon definition, environmental factors to consider, 
and the ability to conduct research on state and federal 
property. 

Comment Procedures: Comments, statements, data and other 
information may be submitted in writing within 60 days (until 
October 13. 1998) after the date of publication of this issue in 
the NC Register Copies of the proposed rule and information 
package men' be obtained by contacting the Non-Discharge 
Permitting Unit at (919) 733-5083 (ext. 574 or 535). Written 
comments may be submitted to Kim H. Colson. Division of 
Water Quality, Water Quality Section, Non-Discharge 



13:5 



NORTH CAROLINA REGISTER 



September 1, 1998 



491 



^M 



PROPOSED RULES 



Permitting Unit. PC) Box 29535. Raleigli. XC 2 '626-0535. 

Fiscal Note: This Rule Joes not affect the expenditures or 
revenues of state or local government funds. This Rule does not 
have a substantial economic impact of at least five million 
dollars fS5.000.000) in a 1 2-month period. 

CHAPTER 2 - ENVIRONMENTAL IVIANAGEIVIENT 

SUBCHAPTER 2H - PROCEDURES FOR PERMITS: 
APPROVALS 

SECTION .0200 - WASTE NOT DISCHARGED TO 
SURFACE WATERS 

.0226 INNOVATIVE ANIMAL WASTE OPERATION 
PERMITS FOR SWINE OPERATIONS 

(a) In accordance with the Clean Water Responsibility' And 
EnvironmentalK Sound Polic\ Act. 1997 N.C. Sess. Laws ch. 
458. Sec. 1.1(b)(7). the Director ma\ issue permits for a new or 
expanding swine waste operation if the operation utilizes an 
innovative animal waste management svstem that does not 
emplo\ an anaerobic lagoon. For the purpose of implementing 
the Clean Water Responsibility And EnvironmentalK Sound 
PolicN Act. 1997 N.C. Sess. Laws ch. 458. an individual permit 
ma\' be issued for a new or expanding swine farm under G.S. 
143-215. IOC if the animal waste management svstem meets the 
criteria as set forth in Paragraph (b) of this Rule. 

(b) An animal waste management s\stem rnay be considered 
for an exception under Sec. 1.1(b)(7) of the Clean Water 
Responsibility And Environmentally Sound Policy Act. 1997 
N.C. Sess. Laws ch. 458 if: 

(1) The system js installed on state or federal 1\ owned 
property, does not employ an anaerobic lagoon, and is 
a research or demonstration project: or 

(2) The svstem is substantially different from systems, 
other than pilot scale. currentK in use in North 
Carolina on swine operations with 250 or more s\sine: 
and 

(3) It appears that the sy stem will provide the Department 
a viable alternative to the continued use of the existing 
form of anaerobic wastewater lagoons prevalent in 
North Carolina as the treatment svstem for suine 
waste, or it appears that the sxstem will substantially 
advance the Department's kno\\ ledge with regard to 
significant improvements that can be made to animal 
waste management on swine farms: and 

(4) The system does not employ an anaerobic lagoon. 

(c) The following definitions appK to this Section: 

(1) "Anaerobic Lagoon" shall mean the lagoon js 
designed for the treatment of waste by converting jt 
into Carbon dioxide. Methane, other gaseous end 
products, organic acids, and cell tissue. 

£2} "Lagoon" shall be as defined in G.S. 106-802( 1 ). 

(3) "Anaerobic process" means a biological treatment 
process that occurs in the absence of oxygen. 

(d) Other processes, such as anoxic zones and anaerobic 
zones for nutrient removal or anaerobic digesters for the further 



treatment of residual solids, that do not include an anaerobic 
lagoon, would not prevent consideration for an exception under 
this Rule, provided the applicant can document beneficial 
aspects of the treatment with respect to ammonia volatilization, 
water quality, and odor reduction. The burden of proof shall be 
on the applicant to demonstrate this requirement. 

(e) The Director may- require the use of aeration or other 
treatment in holding basins or other storage devices if there is a 
potential for anaerobic processes developing and generating 
odors on a regular basis which are detectable beyond the 
property of the operation. 

UQ The Director may consider whether the proposed location 
is consistent with water quality concerns in the watershed. 

(g) This Rule shall be in effect as long as the Clean Water 
Responsibility And Environmentally Sound Policy Act. 1997 
N.C. Sess. Laws ch. 458. Sec. 1.1 is in effect. 

.Author it\' G.S. 1 43-21 5. T' 143-215. IOC: S.L 199^ c. 458. 



XWJTWXXXWWWWKX 



TT X K W 



Notice is hereby given in accordance with G.S. 150B-21.2 
that the North Carolina Wildlife Resources Commission 
intends to amend the rules cited as ISA NCAC IOC .0302. 
. 0305. . 0405. Notice of Rule-making Proceedings was published 
in the Register on July 1. 1998. 

Proposed Effective Date: .April 1. 1999 

A Public Hearing will be conducted at 10:00 a.m. on ^ 
September 16. 1998 at the .Archdale Building. Room 334. 
Raleigh. NC 27604. 

Reason for Proposed Action: 

15A NCAC IOC .0302 - To regulate/restrict taking of inland 
game fish necessary to manage and presen-e the resources. The 
Wildlife Resources Commission may adopt this as a temporary- 
ride pursuant to S.L. 1997-0403 following the abbreviated 
notice as indicated in the Notice of Rule-making Proceedings or 
following the public hearing and public comment period as 
indicated in this notice. 

15A NC.4C IOC .0305 - To regulate/restrict creel and size 
limits for taking of inland game fish necessary- to manage and 
presen-e the resource. The Wildlife Resources Commission may 
adopt this as a temporaiy rule pursuant to S.L. 199^-0403 
following the abbreviated notice as indicated in the Notice of 
Rule-making Proceedings or following the public hearing and 
public comment period as indicated in this notice. 
15.4 NC.4C IOC .0405 - To regulate restrict possession of 
licenses for nongamefsh necessaiy to manage and preserve the 
resource. The Wildlife Resources Commission may- adopt this 
as a temporary rule pursuant to S.L. 199^-0403 following the 
abbreviated notice as indicated in the Notice of Rule-tnaking 
Proceedings or following the public hearing and public 
comment period as indicated in this notice. 

Comment Procedures: Interested persons may present their 
vicMS either orally or in writing at the hearing. In addition, the 



492 



NORTH CAROLINA REGISTER 



September I, 1998 



13:5 



PROPOSED RULES 



record of hearing will be open for receipt of written comments 
from September 1. 1998 to October 1. 1998. Such written 
comments must be delivered or mailed to the NC Wildlife 
Resources Commission, 512 N. Salisbury Street, Raleigh, NC 
27604-1188. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. These Rules do not 
have a substantial economic impact of at least five million 
dollars ($5,000,000) in a 1 2-month period. 

SECTION .0300 - GAME FISH 

.0302 MANNER OF TAKING INLAND GAME FISHES 

(a) Except as provided below, it is unlawful for any person to 
take inland game fishes from any of the waters of North Carolina 
by any method other than with hook and line. Landing nets may 
be used to land fishes caught on hook and line. Game fishes 
taken incidental to commercial fishing operations in joint fishing 
waters or coastal fishing waters shall be immediately returned to 



the water unharmed. Game fishes taken incidental to the use of 
licensed special devices for taking nongame fishes from inland 
fishing waters as authorized by 15A NCAC IOC .0407 shall be 
immediately returned to the water unharmed, except in th e P e e 
D ee Riv e r downstr e am from th e Bl e w e tt Falls dam, wh e r e that 
a daily creel limit of American and hickory shad may be taken by 
permit with dip nets, bow nets and drift gill nets sp e cial fishing 
d e vic e s during th e p e rmitt e d s e ason, from March 1 through April 
30 in those waters where such gear may be lawfully used. In the 
Pee Dee River below Blewett Falls dam no permit is required 
and shad may be taken with any special fishing device during the 
authorized season for that device. 

(b) In the inland waters of the Roanoke River upsfream of 
U.S. 258 bridge, only a single barbless hook or a lure with a 
single barbless hook may be used from 1 April to 30 June. 
Barbless as used in this rule, requires that the hook does not 
have a barb or the barb is bent down. 

Authority' G.S 113-134: 113-273: 113-292: 113-302. 



.0305 OPEN SEASONS: CREEL AND SIZE LIMITS 

(a) Generally. Subject to the exceptions listed in Paragraph (b) of this Rule, the open seasons and creel and size limits are as 
indicated in the following table: 



GAME FISHES 


DAILY CREEL 
LIMITS 


MINIMUM 
SIZE LIMITS 


OPEN SEASON 


Mountain Trout: 
Wild Trout 
Waters 


4 


7 in. 


ALL YEAR 

(exc. 2) 


Hatchery Sup- 
ported Trout 
Waters and 
undesignated 
waters 


7 


None 


All year, except 
March 1 to 6:00 a.m 
on first Saturday 
in April 
(exc. 2) 


Muskellunge and 
Tiger Musky 


2 


30 in. 


ALL YEAR 


Chain Pickerel 
(Jack) 


None 


None 


ALL YEAR 


Walleye 


8 

(exes. 8 & 9) 


None 


ALL YEAR 

(exc. 8) 


Sanger 


8 


15 in. 


ALL YEAR 


Black Bass: 
Largemouth 


5 
(exc. 9) 


14 in. 

(exes. 3,7 & 10) 


ALL YEAR 
(exc. 17) 


Smallmouth 
and Spotted 


5 
(exc. 9) 


12 in. 

(exes. 3,7 & 10) 


ALL YEAR 


White Bass 


25 


None 


ALL YEAR 



13:5 



NORTH CAROLINA REGISTER 



September 1, 1998 



493 



PROPOSED RULES 



Sea Trout (Spotted 
or Speckled) 

Flounder 

Red drum (channel 
bass, red fish, 
pupp\ drum) 

Striped Bass 
and their hybrids 
(Morone Hybrids) 

Shad: (American 
and hickory) 

Kokanee Salmon 

Panfishes 



NONGAME FISHES 



(b) Exceptions 



10 

None 

5 



8 aggregate 
(exes. 1 & 5) 



1 aggregate 



\1 m. 

13 in. 
18 in. 



16 in. 

(e.xcs. 1,5 & 11) 



None 



ALL YEAR 

ALL YEAR 
ALL YEAR 



ALL YEAR 

(exes. 5, 13,& 15) 

ALL YEAR 





None 




7 


ALL YEAR 


None 


None 


ALL YEAR 


(exes. 4. 12. & 16) 


(exc. 12) 


(exc. 4) 


None 


None 


ALL YEAR 


(exc. 14) 


(exc. 14) 


(exes. 6) 



(1) In the Dan River upstream from its confluence with 
Bannister River to the Brantly Steam Plant Dam. and 
in John H. Kerr. Gaston, and Roanoke Rapids 
Reservoirs, and Lake Norman, the creel limit on 
striped bass and Morone h\brids is four in the 
aggregate and the minimum size limit is 20 inches. 

(2) In designated public mountain trout waters the season 
for taking all species of fish is the same as the trout 
fishing season. There is no closed season on taking 
trout from Nantahala River and all tributaries 
(excluding impoundments) upstream from Nantahala 
Lake, and the impounded waters of power reservoirs 
and municipally-owned w ater supply reservoirs open 
to the public for fishing. 

(3) Bass taken from Calderwood Reservoir ma\ be 
retained w ithout restriction as to size limit. 

(4) On Manamuskeet Lake, special federal regulations 
appK. 

(5) In the inland fishing waters of Cape Fean Neuse. Fee- 
Dee. Pungo and Tar-Pamlico rivers and their 
tributaries and the Roanoke Ri\"er and its tributaries. 
including the Cashie. Middle, and Eastmost rivers, 
extending upstream to the first impoundment, and 
Lake Mattamuskeet. the daiK creel limit for striped 
bass and their hybrids is three fish and the minimum 
length limit is 1 8 inches. In the Roanoke Ri\'er and its 
tributaries, including the Cashie. Middle, and 
Eastmost rivers-from April 1 to May 31 no fish 
between the lengths of 22 inches and 27 inches shall 
be retained. 

(6) See I5A NCAC IOC .0407 for open season^ for 
taking nongame fishes b\' special devices. 

(7) The maximum combined number of black bass of all 



(8) 



(9) 
(10) 



species that may be retained per day is five fish, no 
more than two of which may be smaller than the 
applicable minimum size limit. The minimum size 
limit for all species of black bass is 14 inches, with no 
exception in Lake Luke Marion in Moore County, in 
Reedv Creek Park lakes in Mecklenburg Countv: in 
Lake Rim in Cumberland County, in Currituck Sound 
and tributaries north of Wright Memorial Bridge, in 
North River and tributaries in Currituck and Camden 
Counties north of a line between Camden Point and 
the end of SR 1 124. in High Rock Lake downstream 
of 1-85. in Badin Lake, in Falls Lake, in Lake Tillerv. 
in Blewett Falls Lake, and in the New River and its 
tributaries in Onslovs- County. In and west of 
Madison. Buncombe. Henderson and Polk Counties 
and in designated public mountain trout waters the 
minimum size limit is 12 inches. In B. Everett Jordan 
Reservoir a minimum size limit of 16 inches, with no 
exception, applies to largemouth bass. In Falls of 
Neuse Reservoir, east of SR 1004. and Tuckertown 
Lake no black bass between the lengths of 12 inches 
and 16 inches ma\ be retained, and the minimum size 
limit for black bass is 16 inches, except that the daily 
creel ma\ contain two black bass of less than 12 
inches in length. In W, Kerr Scott Reservoir there is 
no minimum size limit for spotted bass. 
A minimum size limit of 15 inches applies to walle\e 
taken from Lake James and its tributaries, and the 
daily creel limit for walleye is four fish in Linville 
River upstream from the NC 126 bridge above Lake 
James. 

The creel limit for black bass and walleve taken from 
Calderwood Reservoir is 10. 
The minimum size limit for all black bass, with no 



494 



NORTH CAROLINA REGISTER 



September 7, 1998 



13:5 



PROPOSED RULES 



exception, is 1 8 inches in the following trophy bass 
lakes: 

(A) Cane Creek Lake in Union County; 

(B) Lake Thom-A-Lex in Davidson County; and 

(C) Sutton Lake in New Hanover County. 

(11) In all impounded inland waters and their tributaries, 
except those waters described in Exceptions (I) and 
(5), the daily creel limit of striped bass and their 
hybrids may include not more than two fish of smaller 
size than the minimum size limit. 

(12) In Lake Tillery, Falls Lake, High Rock Lake, Badin 
Lake, Tuckertown Lake, Lake Hyco, Lake Ramseur 
and Cane Creek Lake a daily creel limit of 20 fish and 
a minimum size limit of 8 inches apply to crappie. In 
Lake James, a daily creel limit of 20 fish applies to 
crappie. 

(13) In designated inland fishing waters of Roanoke 
Sound, Croatan Sound, Albemarle Sound, Chowan 
River, Currituck Sound, Alligator River, Scuppemong 
River, and their tributaries (excluding the Roanoke 
River and Cashie River and their tributaries), striped 
bass fishing season, size limits and creel limits shall 
be the same as those established by duly adopted rules 
or proclamations of the Marine Fisheries Commission 
in adjacent joint or coastal fishing waters. 

(14) The daily creel and length limits for channel, white, 
and blue catfish in designated urban lakes are 
provided for in ISA NCAC IOC .0401(d). 

(15) The Executive Director may, by proclamation, 
suspend or extend the hook-and-line season for 
striped bass in the inland and joint waters of coastal 
rivers and their tributaries. It is unlawful to violate 
the provisions of any proclamation issued under this 
authority. 

(16) In the entire Lumber River from the Camp MacKall 
bridge (SR 1225. at the point where Richmond. 
Moore. Scotland, and Hoke counties join) to the 
South Carolina state line and in all public fishing 
waters east of 1-95, except Tar River Reservoir in 
Nash County, the daily creel limit for sunfish is 30 in 
aggregate, no more than 12 of which shall be 
redbreast sunfish. 

(17) In Sutton Lake, no largemouth bass may be retained 
fi"om December 1 through March 3 1 . 

(18) In the Pee Dee River downstream from the Blewett 
Falls dam, shad may be taken with special fishing 
devices without restriction to creel limits as provided 
for in 15A NCAC IOC .0404 (b) during the permitted 
special fishing device seasons specified in I5A 
NCAC I OC .0407. American and hickory shad taken 
under this Subparagraph may be sold as authorized 
under subsection IOC .0401. 

(19) The season for taking American and hickory shad 
with dip nets, bow nets and drift gill nets is March 1 
through April 30, except jn Pee Dee River 
downstream fi-om Blewett Falls dam where the season 
prescribed in ISA NCAC IOC .0407(4) and (75) is in 
effect. 



Authorities. 113-134: 113-292: 113-304: 113-305. 
SECTION .0400 - NONGAME FISH 

.0405 POSSESSION OF LICENSES 

Except as indicated below, every individual participating in 
the taking of fish through the use of any special device must 
have the special device fishing license issued to him, personally, 
in his possession or readily available for inspection, in addition 
individuals harvesting American or hickory shad with dip nets, 
bow nets or drift gill nets must have a special harvest permit 
issued by the Wildlife Resources Commission. A bow net or a 
dip net may be used by an individual other than the licensee with 
the licensee's permission, but such user must have the license in 
his possession or readily available for inspection, insp e ction: 
provided, that when Also each user must obtain his own special 
harvest permit for taking American and hickory shad. When 
using drag seines authorized for taking nongame fishes at 
beaches on inland fishing waters where there are migratory 
saltwater fishes (h e rring, shad (herring or mullet), only the 
principal owner and operator is required to be licensed. 

Authority G.S. 113-134; 113-275; 113-276; 113-276.1; 
113-292. 

******************** 

Notice is hereby given in accordance with G.S. 150B-21.2 
that the Department of Environment and Natural 
Resources intends to amend the rule cited as 15A NCAC 12B 
. 0901. Notice of Rule-making Proceedings was published in the 
Register on January 2, 1998. 

Proposed Effective Date: April 1. 1999 

A Public Hearing will be conducted at 1:00 p.m. on Septetnher 
18. 1998 at the Archdale Building. Ground Floor Hearing 
Room, 512 N. Salisbury Street. Raleigh. NC 27611. 

Reason for Proposed Action: The purpose of this amendment 
to 15A NCAC 12B .0901 will be to allow the possession or use 
of pyrotechnics in connection with an authorized public 
exhibition as approved by the Division Director 

Comment Procedures: Comments, statements, data, and other 
information men' be submitted in writing within 30 days after the 
publication of the September 1. 1998 issue of the North Carolina 
Register Information and copies of the rule may be obtained by 
contacting Gina Rutherford at the Division of Parks and 
Recreation at 919/715-8710. Written comments may be 
submitted to Gina Rutherford. Division of Parks and Recreation, 
PO Box 27687. Raleigh, NC 27611. 

Fiscal Note: This Rule does affecs the expenditures or revenues 
of local government funds. This Rule does not affect the 
expenditure or distribution of State funds subject to the 
Executive Budget Act, Article 1 of Chapter 143 and does not 



13:5 



NORTH CAROLINA REGISTER 



September 1, 1998 



495 



lara 



PROPOSED RULES 



have a suhstunilul economic impact of at least five million 
dollars lS5.000.000i in a 1 2-month period. 

CHAPTER 12 - PARKS AND RECREATION AREA 
RULES 

SUBCHAPTER 12B - PARKS AND RECREATION 
AREAS 



SECTION .0900 



FIREARMS: EXPLOSIVES: FIRES: 
ETC. 



.0901 FIREARMS: WEAPONS: EXPLOSIVES 

(a) No person except authorized park emploNees. their agents. 
or contractors, or officers of the state shall carry or possess 
firearms, airguns. bows and arrows, sling shots, or lethal missiles 
of an\ kind within an) park. 

(b) The possession or use of p\Tot e chnics and cap pistols is 
prohibited. The possession or use of dxnamite or other powerful 
explosi\es as defined in G.S. 14-284.1 is prohibited. 

(c) TTie possession or use of p\TOtechnics is prohibited except 
for p\Totechnics exhibited, used, or discharged in connection 
\\ith an authorized public exhibition and approved by the 
Director of the Division of Parks and Recreation, or designee. 
Persons wishing to possess or use p\T0technics in connection 
with a public exhibition, such as a public celebration shall file an 
application for a special use permit with the appropriate park 
superintendent. All applicants shall enter an indemnification 
agreement w ith the Department and obtain general liability and 
property damage insurance, with limits as determined by the 
Secretary or designee, which are reasonably necessary to co\ er 
possible liability for damage to property and bodiK injury or 
damage to persons which may result from, or be caused by. the 
public exhibition of pyrotechnics or any act(s) or omission(s) on 
the part of the applicant(s) or the applicant's agents, seryants. 
employees, or subcontractors presenting the public exhibition. 
The Di\ision Director, or designee, may deny an application as 
deemed necessary to protect the public health, safety, and 
yvelfare. or to protect the natural resources of the park unit. 

Authority- G.S. 14-410: 14-415: 113-35. 



ratified "An .Act to Increase the Amount Paid to Physicians to 
read X-Ray Films for the Diisn- Trades Program. " which 
amended G.S. 9~-^2. Section 1. The amendment increased the 
alloMahle fee paid to the members of the Advisoiy Medical 
Committee to not more than forty dollars (S40.00) per film 
examined. The fee per film shall be established by the Secretan- 
for Health and Human Services as guided by the current 
Medicaid Medicare reimbursement schedules for North 
Carolina. 

Comment Procedures: Comments, statements, and other 
information may be submitted in writing within 30 days after the 
publication date in the Sorth Carolina Register Copies of the 
proposed rule may he obtained by contacting the Occupational 
and Environmental Epidemiology Section at 919-~33-3680. 
Written comments may be submitted to Susan Randolph. 
Division of Epidemiology. OEES. PO Box 29601. Raleigh. North 
Carolina 2-626-0601. 

Fiscal Note: This Rule does affect the expenditure or 
distribution of State funds subject to the Executive Budget Act. 
.Article 1 of Chapter 143. This Rule does not ha\-e a substantial 
economic impact of at least five million dollars (S5. 000, 000) in 
a 1 2-month period. 

CHAPTER 19 - HEALTH: EPIDEMIOLOGY 

SUBCHAPTER 19C - OCCUPATIONAL HEALTH 

SECTION .0200 - OCCUPATIONAL HEALTH 

.0206 FEES FOR MEDICAL EXAMS IN DUSTY 
TRADES 

(a) Employ e rs yvhos e e mployees receive periodic radiographs 
from th e D e partm e nt' s mobil e x ray unit pursuant to G.S. 97 60 
will b e charg e d a f ee for e ach e mploy ee xrav e d. Th e f ee w ill b e 
tys e h e dollars (S12.00) per employ ee . 

fb4 Employers will be charged a fee for each employee 
screened b> the chest consultant pursuant to G.S. 97-60. The fee 
for this will be fiv e dollars (S5.Q0) eight dollars ($8.00) per 
x-ray. 



Authorit^■ G.S. 9'-'2(bl. 



Notice is hereby given in accordance with G.S. 150B-21.2 
that the Department of Health and Human Senices 
intends to amend the rule cited as 15.4 NC.4C 19C .0206. Notice 
of Rule-making Proceedings was published in the Register on 
February 2. 1998. 

Proposed Effective Date: April 1. 1999 

A Public Hearing Mill he conducted at 10:00 a.m. on 
September 28. 1998 at the Parker-Lincoln Building. Room 
2A100. Conference Room. Occupational and Environmental 
Epidemiology Section. 

Reason for Proposed .Action: The 199' General .Assembly 



TITLE 17 - DEPARTMENT OF REVENUE 

Notice is hereby given that the Department of Revenue 
intends to repeal rules cited as 1 ' NCAC 4D . 0204. . 0303. 
.0305. .0401 - .0402. 0501, .0505 - .0506. .0508. .0610. .0901 - 
.0903, .090~ - .0908. .1001. .1003. Notice of Rule-making 
Proceedings was published in the Register on N A . 

Editor's Note: G.S. 150B-l(d)l4) exempts the Department of 
Revenue from Part 2 .Article 2A of Chapter 150 with respect to 
the notice and hearing requirements. The Department will 
hoMe^-er publish the text of proposed rules in the North Carolina 
Register prior to the scheduled time of revie^v by the Rules 



496 



NORTH C.AROLIXA REGISTER 



September 1, 1998 



13:5 



PROPOSED RULES 



Review Commission. 

Proposed Effective Date: July 1. 1999 

Reason for Proposed Action: Section 4.2 of Chapter- 13 of the 
1996 Second Extra Session repealed the soft drink tax, effective 
July 1. 1999. These Rules are the rules that implement the soft 
drink tax. These Rules will be obsolete on July 1, 1999, when 
the soft drink tax is repealed. 

Comment Procedures: Written comments may be submitted to 
Ms. Brenda Coleman at North Carolina Department of Revenue, 
Corporate, Excise, and Insurance Tax Division, PO Box 871, 
Raleigh. NC 27602. Comments received will be taken into 
consideration. If you have any questions, you may call Ms. 
Coleman at 919-733-1352. 

Fiscal Note: These Rules affect the expenditure or distribution 
of State funds. These Rules do have a substantial economic 
impact of at least five million dollars ($5,000,000) in a 12-month 
period. 

CHAPTER 4 - LICENSE AND 
EXCISE TAX DIVISION 

SUBCHAPTER 4D - SOFT DRINK TAX 

SECTION .0200 - LICENSES 



s >Tup. The tax on a gallon of s yrup b e ing on e dollar ($1.00), 
and s inc e 1 6 ounc e s of powd e r are required to produc e on e 
gallon of svTup. the tax l e vi e d in thi s in s tanc e would b e at th e 
rate of six and on e fourth c e nt s (6 %0) p e r ounc e of the dry 
mixtur e . 

(b) Conc e ntrat e d mixtur e s which ar e us e d comm e rcially for 
compounding soft drink liquid bas e product s ar e s ubj e ct to tax 
in proportion to th e conc e ntrat es . 

Example: Conc e ntrat e X is a quadrupl e str e ngth syrup. This 
concentrat e r e present s four gallons of r e ady to us e s yrup. In 
such instanc e , the tax rat e on such conc e ntrat e would b e four 
dollars (S'l.OO) and would hav e to b e tax paid accordingly by 
the distributor, whol e sal e r or r e tail e r. 

(c) Prcmixod flavor e d milk s hak e drink mix es or pr e mix e d 
flavor e d imitation milk shak e drinlc mix e s which ar e not in 
ready to us e siz e contain e rs, and which milk shak e drink mix e s 
are for the purpos e of furth e r disp e nsing b e for e b e ing r e ady for 
consumption, ar e subj e ct to tax bas e d upon th e amount of bas e 
product us e d in th e manufactur e of s am e . The fact that such 
product s may b e further chill e d or partially frozen befor e b e ing 
dispensed would not aff e ct this liability. 

Approximat e ly 10 percent of th e pr e mix e d flavor e d milk shak e 
drink mix e s r e pr e sents the amount of ba se product us e d in th e 
manufactur e of such premix e d milk shak e drink mix. Thus, a 
soft drink tax often cents ($0.10) will cover the e xcis e tax du e 
on th e soft drink products us e d in th e manufacture of on e gallon 
of premix e d flavor e d milk shake drink mix. On a fiv e gallon 
container of pr e mixed flavor e d milk shak e drink mix. a soft 
drink tax of fifty c e nt s ($0.50) would b e applicable. A d e al e r is 
permitted to us e this basi s for paym e nt of the tax on th e s e 



.0204 GENERAL LICENSE PROVISIONS 

(a) All licenses shall b e is s u e d by th e s e cr e tary on Form pr e mix e d flavor e d milk shake drink mix e s 



B B 4. Retail Dealer Soft Drink Licens e : and Form BBS. 
Distributor and/or Whol e sal e D e al e r Soft Drink Lic e ns e . 



(d) Premix e d carbonat e d drinks, which ar e not in ready to us e 
s iz e containers, and which drinks are for th e purpose of furth e r 



(b) No lic e nse shall b e assignabl e , transf e rabl e , or prorat e d. disp e nsing befor e b e ing r e ady for consumption, ar e not 

(c) Each license or such oth e r e videnc e of lic e n se a s th e consid e r e d bottled soft drink s und e r the Soft Drink Tax Articl e , 
s e cr e tary may authoriz e shall b e exhibit e d in th e plac e of In s t e ad, th e tax on sam e shall b e d e termin e d on the basis of th e 

amount of liquid bas e product used in the manufacture of such 
pr e mix e d carbonated drinks. Prop e r tax shall be applicable to 
e ach such contain e r bas e d on th e amount of liquid base product 
us e d in producing such drink. 

Using a fiv e to one ratio, a liquid bas e product tax of seventeen 
cents ($0.17) will cover the amount of liquid bas e in on e gallon 



busin e ss for which it is issu e d. 

(d) Upon application to th e s e cr e tary', a soft drinlc distributor, 
whol e sal e d e al e r or retail d e al e r may obtain without charg e a 



duplicate license upon: 



f4^ a sati s factory showing that the original lic e ns e has 



been lost, destroy e d or d e fac e d: 



(2^ a sati s factory showing that the location of th e plac e of pr e mix e d carbonat e d drink. A dealer is p e rmitt e d to us e thi s 

basis for pa>'m e nt of the tax on th ese premix e d carbonated 
drinks. Thus, on a fiv e gallon contain e r of premix e d drink, sam e 
would requir e a liquid base tax of e ighty five cents ($0.85). 
Exampl e : — A 600 ounce contain e r of premix e d carbonat e d 
drink using this s ame fiv e to on e ratio, would represent 
approximat e ly 100 ounces of syrup. On this basis, a tax of 
eighty c e nts ($0.80) would be applicabl e to e ach container of 
pr e mix e d carbonated drink. 



of busin e ss r e pr e s e nt e d by the licens e ha s b ee n 
changed. 
Each lic e ns e shall b e ar th e words "duplicat e lic e nse" on its fac e . 

Authority G.S 105-113.50: 105-262. 

SECTION .0300 - TAX RATES 

.0303 LIQUID BASE RATE ILLUSTRATED 

(a) Wh e n e v e r a dry mixtur e is convert e d to a liquid bas e , th e .Authority G.S. 105-113.45: 105-262. 
tax p e r ounc e of dry mixtur e will b e comput e d in dir e ct ratio to 



th e quantity of r e ady to us e liquid base produc e d. 
Exampl e : — Cocoa powder: gen e rally, on e pound of cocoa 
powder is us e d in the manufactur e of a gallon of chocolat e 



.0305 PRODUCTS NOT USED IN 

MANUFACTURING PROCESS 

All ba se products poss e ss e d or stor e d by the manufactur e r 
which ar c not for us e by such persons in th e manufactur e of 



13:5 



NORTH CAROLINA REGISTER 



September 1, 1998 



497 



PROPOSED RILES 



bottl e d soft drinks shall b e stor e d in a s e parat e compartm e nt or 
location from that known to b e intended for use in th e 



.0402 REPRESENTATIVE LIST 

Th e D e partm e nt's representativ e list of taxabl e s oft drink 



manufactur e of bottl e d soft drinks. R e cords mu s t b e maintain e d products, with comments as wh e th e r taxabl e domosticalK and/or 



to r e fl e ct th e quantity of such products that ar e stor e d or k e pt 
within th e s e parat e compartm e nt or location. Th e r e cords must 
includ e quantity of ingr e di e nt s purchas e d, dat e r e c e iv e d, and th e 
name and addr es s of th e p e r s on from whom th e > w e r e r e c e iv e d, 
dat e of vsithdravsal. us e r and th e quantity withdrawn. All such 
r e cords shall b e mad e availabl e to th e S e cr e tary of R e v e nu e or 
an authoriz e d ag e nt at any tim e upon r e qu e st for purpos e of 
examination for at l e ast thr ee v e ars. 



comm e rcially, is not intended to b e e xclusive, and th e absence ^| 
of any product on such list do e s not in any way indicat e wh e th e r 
or not th e product i s s ubj e ct to th e soft drink exci se tax. 



Authorin- G.S. 105-115.44; 
105-113.4': 105-262. 



105-115.45: 105-115.46: 



Authority G.S. 105-115.45: 
105-115.58: 105-262. 



105-115.46: 105-115.5' 



.0401 



SECTION .0400 - TAXABLE STATUS OF 
VARIOUS PRODUCTS 

DOMESTIC USE VERSUS 
COMMERCIAL USE 



SECTION .0500 - EXEMPTIONS FROM SOFT 
DRINK EXCISE TAX CONDITIONAL 

.0501 FEDERAL GOVERNMENT 

(a) Soft drink products may b e sold to th e f e d e ral gov e rnm e nt 
and its instrumentaliti es , such a s th e Arm e d Forces Exchang e 
Sepi'icos. without th e paym e nt of th e soft drink e xcis e tax. but 
sal e s of soft drink products by such s e rvic e s must b e limit e d to 
m e mb e rs of the arm e d forc e s and th e ir d e p e nd e nts who hold 
id e ntification card s e ntitling th e m to mak e purchas e s through 



(a) Bottl e d soft drinks ar e subj e ct to tax both dom e stically and Armed Forc e s Exchang e S e r\'ic e5 . 



comm e rcialK. 



(b) Wh e n e v e r tax e x e mpt d e liv e ri e s of s oft drink products ar e 



1^ — Liquid (froz e n or unfi'oz e n) base products that contain mad e b\ distributors, whol e sal e rs or r e tail e r s to Arm e d Forc e s 



milk or th e packag e in s truction s indicat e to add milk ar e e x e mpt 
wh e n us e d dom es tically but taxabl e comm e rcialK. 
(c) Liquid (froz e n or unfi'oz e n) bas e products that do not moot 



Exchang e S e rvic e s, the sell e r must r e quir e a duly r e c e ipt e d 
invoic e or cop\ th e r e of from th e gov e rnm e ntal ag e nt d e signated 
to acc e pt d e liv e r)'. 



th e e x e mption/r e gi s tration r e quir e m e nts und e r G.S. 105 113. 4 6 (c) If a p e rson e ngag e s in th e sal e of an> soft drink products, 

and G.S. — 105 113. 4 7 ar e taxabl e both dom e sticalK and d e fin e d under the Soft Drink Act. on a military r e s e rvation: 

r e gardl e ss of th e fact that h e may hav e a contract with the federal 

gov e rnm e nt, wh e r e by th e f e d e ral gov e rnment will r e c e iv e a 

do contain 100 p e rc e nt juic e wh e n r e constitut e d according to commission, flat foe or s om e oth e r t>p e of comp e nsation on s uch 

approved sal e s: sam e do e s not e x e mpt th e sal e of s uch product s from th e 
e xcis e tax. In such instanc e , such sal e s would not b e mad e h\ 



comm e rcially. 

Exampl e : Juice bases that do not contain 100 p e rc e nt juic e or 



packag e dir e ctions but ar e not r e gist e r e d as 
products. 

(d) Drv bas e product s s uch a s hot chocolat e mix or oth e r dr> 
mi-x e s which contain milk or to which milk is add e d, p e r package 
dir e ctions, ar e e x e mpt domesticalK but taxable comm e rcialK. 

( e ) Dry base products such as Tang. Country Tim e L e monad e . 

Gatorad e . Kool Aid. Oh Boy Drink. Tip Top. Miracl e Aid. all .Auihorm- G.S. 105-115.46: 105-262. 
similar products and all dr\ mix e s which do not contain milk or 
which the package directions do not indicat e to add milk ar e 
taxabl e both dom es tically and comm e rcialK. 



th e f e d e ral gov e rnm e nt or an instrum e ntality ther e of. In s t e ad, all 
such sal e s ar e subj e ct to th e soft drink e xcis e tax and shall b e tax 
paid as r e quir e d h e r e in. 



.0505 APPLICATION FOR EXEMPTION REQUIRED 

(a) R e gistration of all natural juic e and all bottl e d milk drinks. 



(f) Bas e products that do not contain any milk ar e taxabl e both e xcept a natural liquid milk drink produc e d b>' a farmer or a 

dairy, is r e quir e d und e r G.S. 105 113. 4 7. An\ bottl e d s oft drink 



dom es ticalK and comm e rcialK. 



(g) Bas e products to which a liquid oth e r than milk is add e d (juic e or milk) for which e x e mption is claim e d shall b e 

r e gist e r e d with th e S e cr e tary on Form BBS. Application for 
R e gistration of Product for Ex e mption from Bottl e d (Clos e d 

(h) Bas e products, e v e n if clas s ifi e d as e x e mpt for dom es tic Contain e r) Soft Drink Excis e Tax. Any conc e ntrated fioiit or 



to mak e a s oft drinl^ ar e taxabl e both dom es tically and 
comm e rcialK'. 



us e . that ar e purcha se d b\ a comm e rcial e stabli s hm e nt from a 
r e tail stor e imm e diat e ly b e com e taxabl e products and tax must 
b e paid th e r e on. 



v e g e tabl e juic e for which e x e mption is claim e d shall b e 
r e gist e r e d w ith th e S e cr e tary on Form B B 50. Application for 
R e gistration of Conc e ntrat e d Froz e n or Unfroz e n Fruit or 
Exampl e : — Cocoa mix containing milk which is e x e mpt V e g e tabl e Juic e for Ex e mption from th e Soft Drink Excis e Ta> :7 



dom e stically but taxable commercially. 

(i) Bas e products sold to comm e rcial e stablishm e nt s such a s 
drug s tor e s, drive ins. hospitals, r e staurants, v e nding machin e s- 
schools, and church e s, ar e subj e ct to th e soft drink e xcis e tax. 



Authority- G.S. 105-115.45: 105-115.46: 105-115.4': 105-262. 



(fe) — Thr ee copi e s of th e lab e l which will be affix e d to th e 
product or s ampl e of th e physical packag e s howing w e ight and 
cont e nt and supporting th e claim for e x e mption must accompany 
each application. 

(e) — All bottl e d soft drink s and ba se products for which 
e x e mption has not b ee n provid e d und e r th e Soft Drink Tax Act 
ar e s ubj e ct to tax both commercialK and dom e stically. 



498 



NORTH CAROLINA REGISTER 



September 1, 1998 



13:5 



PROPOSED RULES 



October 1 to Septemb e r 30 of e ach y e ar. — This e quates to a 
r e duc e d rat e of on e half c e nt (\l2i) p e r bottl e d soft drink on th e 
First 2.160,000 drink s sold annually. 
(c) Di s tributors and wholesaler s who purchase non tax paid 
i p e ct e d and audited by th e S e cr e tary' or duly authoriz e d bottl e d soft drinks using a s oft drink c e rtificat e of liability' as 
r e pr e s e ntative at any tim e and without having to go through and provid e d for und e r G.S. 105 113.51(b) are not e ntitl e d to th e 



Aiithohty'G.S. 105-113.47: 105-262. 

.0506 EXEMPT SALES RECORDS 

Records must b e maintain e d in such mann e r as can b e 



se parat e or s e gr e gat e all sales of th e taxpay e r in ord e r to arriv e 
at th e amount of exempt s al e s. Ev e ry r e tail d e al e r and e v e ry 



r e duc e d rat e on any drink s purchas e d und e r a certificat e and ar e 
s ubj e ct to th e tax at th e full rat e of on e c e nt ($0.01 ) p e r bottl e or 



distributor or whol e sal e r and th e ir cu s tom e rs must keep r e cords on e dollar and forty four c e nts ($1. 44 ) p e r gross on all such 



bottl e d soft drinks sold in North Carolina. 

(4) — A whol e sal e s al e is a sal e mad e by a di s tributor or 
whol e sal e r for r es al e and do e s not includ e a sal e to th e us e r or 
ultimat e con s um e r. 

( e ) No di s count i s allow e d on whol e sal e sal es of bottl e d soft 
drinks tax paid at the r e duc e d rat e of on e half c e nt (1/20) p e r 
bottl e . 



Authority G.S. 105-113.51: 105-113.52: 105-262. 



of inv e ntori e s, purchas e s, and sal es of bottl e d soft drink and 
base products for at l e a s t 3 y e ar s . 

Authority G.S. 105-113.51: 105-113.58: 105-262. 

.0508 NATURAL PRODUCTS EXEMPTION 
DETERMINED 

(ft) — Farm e rs and dairi e s ar e not r e quir e d to register natural 
liquid milk. How e v e r, a milk drink is subject to th e tax unl e ss 
e x e mpt e d und e r G.S. 105 113.47. 

(b) Exc e pt for add e d vitamins, min e rals, sugar, or ingr e di e nts 
e xtract e d from an item and later r e turn e d to th e it e m during th e 
manufacturing process, th e addition of any oth e r ingr e di e nts shall fil e monthly r e ports on Form B B 61 (Retail Dealer'; 
(such as salt, coloring, artificial flavoring, pr e s e rvativ e , or 
carbonation) to a bottl e d, conc e ntrat e d or r e constitut e d juic e 
mak e s th e product a taxabl e it e m. 

Authority G.S 105-113.46: 105-113.47: 105-262. 



.0902 REPORT BY RETAILER 

R e tail d e al e rs, liabl e for th e e xcis e tax und e r G.S. 



1 05 113.51. 



Monthly Soft Drink — Excis e Tax R e port) cov e ring such 
ttansactions. This r e port is r e quir e d wh e th e r or not any tax is 
shown to b e du e . Th e S e cr e tary will provid e monthly r e ports 
forms which must b e fill e d out in d e tail, and any r e mittanc e du e 
must accompany th e s e r e ports. 



.0610 



SECTION .0600 - TAXPAID INDICIA 
(STAMP, IMPRINT, CROWN, OTHER) 

ONLY NORTH CAROLINA 
TAXPAID INDICIA ALLOWED 



Authority G.S 105-113.51: 105-262. 

.0903 REPORT BY DEALER ON TRAINS 

Railroads op e rating int e r s tat e ar e p e rmitt e d to s e ll nontaxpaid 
bottl e d soft drink s in thi s Stat e , but s uch carri e r s must notify' th e 



Any p e rson making s al e s of bottl e d soft drink s or ba se S e cr e tary' and r e port on Form B B 15 (Monthly R e port of Sal es 
products in this Stat e e vid e ncing anoth e r stat e ' s taxpaid s tamp. of Nontaxpaid Bottl e d Soft Drinks by D e al e rs on Train s ). This 
crown, or oth e r indicia must give writt e n notification to th e r e port i s du e on or b e for e th e 15th day of e ach month s howing 
S e cr e tar\' prior to s uch tran s actions. all taxabl e s al es for th e pr e c e ding month. A r e mittanc e for th e 

amount of th e e xci se tax du e th e stat e on such sal e s must b e 
Authority G.S. 105-113.63: 105-262. submitt e d with th e r e port. 



SECTION .0900 - MONTHLY REPORT, 
INVOICE AND BOND REQUIREMENTS 



DISTRIBUTOR 



OR 



.0901 REPORT BY 

WHOLESALER 

(a) Distributors and whol es al e rs, liabl e for th e tax und e r G.S. 
105 113.51. must fil e monthly r e ports on Form B B 60 
(Monthly Soft Drink Exci se Tax R e port of Distributor or 
Whol e sal e D e al e r) with the S e cr e tary, showing ttansactions for 
th e pr e c e ding month. Thi s monthly r e port is r e quir e d wh e th e r 
or not any tax is s hown to bo duo. Th e s e cr e tary will provid e 
monthly r e port forms which mu s t b e fill e d out in d e tail, and any 
remittanc e du e must accompany th e se r e ports. 

(b) Di s tributors and whol e sal e rs, liabl e for th e tax und e r G.S. 
105 1 13.51. and who fil e tim e ly reports ar e subj e ct to th e tax at 
th e r e duc e d rat e of s e v e nty two c e nts ($0.72) per gross, in s t e ad 
of on e dollar and forty four c e nts ($1. 4 4) p e r gros s , on th e first 
15.000 gross of bottl e d soft drinks sold at whol e sal e from 



Authority G.S 105-113.51: 105-262. 

.0907 DISCOUNT FOR TIMELY FILING 
AND PAYMENT 

(a) Distributors and wholesale d e alers liabl e for th e soft drink 
e xcise tax under G.S. 105 1 13.51 and who file tim e ly r e ports 
may deduct a four p e rc e nt di s count from tax es due on: 

f+-) bottled soft drinks sold at r e tail. 

(3-) bottled soft drink s s old in excess of the first 15.000 

gross (2.160.000 bottl es ) sold at whol e sal e from 
Octob e r 1 to S e ptember 30 of each y e ar. — This 
discount do e s not apply to bottled soft drinks tax du e 
under the 15.000 gross r e duc e d rat e [on e half c e nt 
(1/20 p e r bottle)] on whol e sal e sal e s. 

(3-) whol e sal e or r e tail sal e s of ba se products. 

f4-) bottl e d soft drinks and bas e products purchas e d 

non tax paid using a soft drink c e rtificat e of liability 
and s old in a taxabl e ttan s action. 



13:5 



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September I, 1998 



499 



PROPOSED RULES 



fb^ — R e ta i l d e al e rs liabl e for th e soft drink e xcis e tax und e r 
G.S. 105 113.51 and who til e tim e ly r e ports may d e duct a I 
perc e nt discount from total tax e s du e on r e tail s al e s of bottl e d .1003 



Authurin-G.S. 105-113.51: 105-262. 



soft drinks and ba se products for th e month. R e tail d e al e rs ar e 
not requir e d to b e lic e n se d or mak e monthly r e ports wh e n th e y 
purchas e only taxpaid s oft drink product s . 



LIABILITY UNDER G.S. 105-113.51(b) - 
SOFT DRINK CERTIFICATE OF LIABILITY 

fa^ — Pres e ntation of a soft drink c e rtificat e of liability 
(c e rtificate of liability) to a distributor or whol e sal e dealer 



% 



(c) Failur e to fi le a tim e ly r e port with tax du e for th e month authoriz e s the distributor or whol e sal e dealer to sell non tax paid 



will resu l t in th e D e partm e nt of R e v e nu e di s allowing th e four 
percent discount for tim e ly paym e nt and adding G e n e ral Statut e 
penalties and interest for lat e filing/failur e to pay wh e n du e . 

.Auihohty'G.S. 105-113.51: 105-113.52: 105-262. 

.0908 INVOICING REQUIREMENTS 

(a^ — Sal e s invoic e s of di s tributor s and whol es al e rs, wh e th e r 



bottl e d soft drinks or non tax paid base products to the 
distributor, wholesal e d e al e r, or r e tail dealer v s ho pr e s e nts the 
certificat e : it r e l e a se s th e distributor or wholesal e d e al e r from 
liability for any tax du e on th e sale and tran s f e rs th e liability to 
th e distributor, whol e sale d e al e r, or r e tail d e al e r who pr e sents 
th e c e rtificat e . 

(b) A r e sid e nt distributor, whol e sal e d e al e r, or r e tail d e al e r 
who d e sires to purchase non tax paid bottl e d soft drinks or non 



resid e nt or nonr e sid e nt, liabl e for th e tax s hall indicat e paym e nt tax paid bas e products from a distributor or whol e sal e d e al e r 



of the excise tax on bottl e d soft drinks and bas e products by the 
wording "North Carolina Soft Drink Tax Paid." 

(b) jAH — sal e s invoic es of nonr es id e nt distributors or 

whol e sal e r s shall s how th e point of origin and mod e of 
transportation r e fi e cting how th e soft drink products com e into 
North Carolina and are delivered to the North Carolina account 
for all shipm e nts of bottl e d soft drink s or bas e product s into this 
Steter 

(e^ — Distributors and whol es al e rs who ar e pr e s e nt e d a soft 



liabl e for th e tax und e r G.S. 105 1 13.51(a) may obtain from th e 
S e cr e tary a Fonn B B 60 COL. Soft Drink C e rtificat e of 
Liability for that purpose. Th e di s tributor, whol e sal e d e aler, or 
r e tail d e aler who d e sir es a c e rtificat e of liabilit\' must: 



(4^ 



b e r e gist e r e d with th e S e cr e tary as a soft drinlc 



lic e ns ee und e r G.S. 105 113.50: 
{¥) mak e a written request for th e c e rtificat e to th e 



S e cretary on company l e tt e rh e ad, sign e d by an 

*^^ oth e r authoriz e d p e rson for the company. 

. whol e sal e dealer, or r e tail d e al e r who i s 



offic e r or i 



drink c e rtificat e of liability b\ a distributor, whol e sal e d e al e r, or (c) Th e distributor, whol e sal e dealer, or retail d e al e r who i s 

r e tail d e al e r mu s t indicat e on th e s al es invoic es to th e pr ese nt e r issu e d a certificate of liability by th e S e cr e tary' mu s t pr e s e nt a 

certificat e compl e t e d in — it s e ntir e t\' to th e distributor or 
whol e sal e d e al e r liabl e for th e tax under G.S. 105 113.51(a) in 
ord e r to purchas e non tax paid bottl e d s oft drinks or bas e 
products. 

(d) Th e distributor, whol e sal e d e al e r, or r e tail d e al e r who is 
i s su e d a c e rtificat e of liability' by th e S e cr e tary' and who pr e s e nts 
a c e rtificat e compl e t e d in its e ntir e ty to purchas e non tax paid 
s oft drink products is liabl e for th e full rat e of tax on all 
purchas e s mad e from th e dat e th e c e rtificat e is pr e sent e d to a 
distributor or wholesale deal e r and th e soft drink products ar e 
s ub se qu e ntly sold in a taxabl e tran s action . 



of th e c e rtificat e th e wording "Sold Und e r a Soft Drink 
Certificate of Liability" for all future non tax paid sal e s of 
bottl e d soft drinks or bas e products. 

.4 uthohty- G. S. 105-113.51: 1 05- 113.58: 1 05-262. 

SECTION .1000 - LIABILITY FOR THE SOFT 
DRINK EXCISE TAX 

.1001 LIABILITY UNDER G.S. 105-113.51(a) 

(a) Th e distributor or r e tail d e al e r who first manufactur e s and 



distributes the soft drink products in this Stat e is liabl e for ( e ) A r e tail d e al e r shall not pr ese nt a c e rtificat e of liability to 

paym e nt of th e s oft drink e xcis e tax. 

(b) — Th e di s tributor, whol e sal e d e al e r or r e tail d e al e r who 
brings s oft drink products into this Stat e is liable for th e paym e nt 
of th e excise tax. Exampl e s ar e : 

f4-) Th e out of stat e distributor, whol e sal e d e al e r or 

r e tail d e al e r who brings such products into th e Stat e 
on its own truck. 

{2^ The in stat e distributor, whol e sal e d e al e r or r e tail 

d e al e r who bring s such products into th e Stat e on its 
own truck, 
(c) Th e di s tributor, whol e sal e d e al e r or retail d e al e r who first 
r e c e iv es or handl e s th e soft drink products in this Stat e is liabl e 
for th e paym e nt of th e soft drink e xcis e tax. Exampl es ar e : 

fH Th e di s tributor, whol e sal e d e al e r or r e tail deal e r who 

i s th e original consign ee of any soft drink products 
manufactur e d or produc e d outsid e this State. 

{Or) Th e in s tat e distributor, whol e sale dealer or retail 

d e al e r who fir s t rec e ive such products from outsid e 
th e Stat e b\ common carri e r or contract carri e r 



anoth e r r e tail dealer 

{f) — A di s tributor or whol e sal e d e al e r, wh e th e r r es id e nt or 
nonr es id e nt, and liabl e for tax und e r G.S. 105 113.51(a). to 
whom a compl e t e d c e rtificat e i s pr e s e nt e d must acc e pt th e 
c e rtificate. — Th e distributor or whol e sal e deal e r acc e pting th e 
c e rtificat e of liability mu s t: 

<4^ mak e all futur e sal es of bottl e d soft drinks or bas e 

products non tax paid to th e p e rson who pr e s e nts th e 
e x e cut e d c e rtificat e : 

{^ indicat e on the sales invoic e that th e non tax paid 

soft drink s or bas e product s ar e sold und e r a 
c e rtificat e of liability by th e wording. "Sold und e r -a 
soft drink c e rtificat e of liability": 



m- 



provid e to th e D e partm e nt, a s part of the monthly 



soft drink e xcis e tax r e port, a copy of th e fully 

e x e cut e d c e rtificat e of liability r e c e iv e d for that 

month. 

(g) A c e rtificat e of liability appli e s prosp e ctiv e ly to all s al es 

mad e b\ th e distributor or whol e sal e deal e r on or aft e r th e dat e 



500 



NORTH CAROLINA REGISTER 



September I, 1998 



13:5 



PROPOSED RULES 



th e c e rtificat e is r e c e iv e d from a particular custom e r. 

1^ — Th e c e rtificat e of liabilit>' r e main s in e ff e ct until th e 
pr e s e nt e r of the c e rtificat e provid es th e di s tributor or who l esale 
dealer writt e n notic e , on company l e tt e rh e ad and sign e d b\ an 
offic e r or oth e r authoriz e d person for th e pr e s e nt e r, advising th e 
s p e cific date that th e c e rtificat e no long e r appli e s to purchas e s 
from the distributor or whol e sal e d e al e r. — The distributor or 
whol e sal e d e al e r who r e c e ives a notic e r e voking a c e rtificat e 
must submit, as part of th e soft drink monthly r e port, a copy of 
th e r e vocation l e tt e r with th e n e xt soft drink monthly r e port du e . 

(4^ — Th e distributor, whol e sal e d e al e r, or r e tail d e al e r who 
pr e s e nts th e c e rtificat e and the di s tributor wholesal e d e aler who 
acc e pts th e c e rtificat e must k ee p a copy of th e e x e cuted 
c e rtificate of liability on file togeth e r with a copy of any l e tt e r or 
re s cission for a p e riod of at l e ast thr ee y e ars. Th e s e r e cords 
must b e maintain e d in such a mann e r as can b e insp e ct e d and 



have a substantial economic impact of at least five million 
dollars (S 5. 000. 000) in a 12-month period 

CHAPTER 2 - DIVISION OF HIGHWAYS 

SUBCHAPTER 2D - HIGHWAY OPERATIONS 

SECTION .0200 - LANDSCAPE 

.0406 CONSTRUCTION AND MAINTENANCE OF 
SIDEWALKS 

(a) When a highway construction project having to do with the 
widening of an existing street requires that an existing sidewalk 
be torn up to make room for the widening, the Department of 
Transportation shall replace the sidewalk. 



(b) For construction and wid e ning proj e cts wh e re sidewalk 



audit e d at any tim e by th e S e cr e tary or a r e pr e s e ntativ e of th e did not originally e xi s t, th e D e partm e nt of Transportation shall 



S e cr e tary. 



not participat e in th e con s truction of th e sid e walks. If ad e quate 



(j) A s oft drink c e rtificat e of liability is not transf e rabl e or right of way i s availabl e , th e D e partm e nt of Transportation wil 

grad e out a l e v e l walking ar e a in th e s trip from th e back of th e 
curb to th e right of way. — Th e municipality may. at its own 



a s signabl e and is to b e us e d only by th e lic e n see is s u e d th e 
c e rtificat e by th e S e cr e tary. 

Author it\- G.S. 105-113.51: 105-262. 



TITLE 19A - DEPARTMENT OF TRANSPORTATION 

Notice is hereby given in accordance with G.S. 1 50B-21.2 
that the NC Department of Transportation-Division of 
Highways intends to amend the rule cited as 19A NCAC 02 D 
. 0406. Notice of Rule-making Proceedings was published in the 
Register on May 15. 1998. 

Proposed Effective Date: May 1. 1999 

Instructions on How to Demand a Public Hearing: A 

demand for a public hearing must be made in writing and 
mailed to Emily Lee. NC Department of Transportation. PO Box 
25201, Raleigh. NC 27611. The demand must be received 
within 15 days of this notice. 

Reason for Proposed Action: To comply with the Pedestrian 
Policy adopted by the Board of Transportation on August 6. 
1993. The Board of Transportation Policy was adopted as a 
result of federal ISTEA requirements. Changes in the federal 
legislation placed a higher prior it}- on funding for sidewalks. 
The proposed amendmetits will bring the NC.4C into agreement 
with the previously adopted Board policy and the current DOT 
highway project planning procedures. 

Comment Procedures: .Any interested person may submit 
written comments on the proposed rule by mailing the comments 
to Emily Lee. NC Department of Transportation, PO Box 25201, 
Raleigh, NC 27611 by October 1. 1998. 

Fiscal Note: This Rule does not affect the expenditures or 
revenues of state or local government funds. This Rule does not 



discr e tion, con s truct s id e walk s . If th e municipality d e sir e s 
sid e walks a s a part of th e con s truction proj e ct, th e y will b e 
construct e d and th e cit\' will r e imbur se th e D e partm e nt of 
Tran s portation for th e cost of th e s id e walk s by appropriat e 
municipal agr ee m e nt. 

(c) In unusual hard s hip ca se s wh e r e h e avy p e d e strian traffic 
must mak e u se of an e xisting road and cr e at e s a dang e rous 
situation, particularly at s chools b e yond th e corporat e limits of 
municipaliti es , th e D e partm e nt of Transportation will con s id e r 
on an individual basi s th e construction of som e grad e d out ar e a 
for a sid e walk. Approval of th e sid e walk construction mu s t b e 
by th e Board of Transportation. 

(b) The Department shall evaluate the need for sidewalks in 
the planning process. The Department shall assess information 
provided by the local aovemment. Transportation Advisory 
Committee, and departmental engineering studies. 

(c) The Department shall analyze the existing and projected 
future need for a pedestrian facility jn every major highway 
project planning report. The Department may construct a 
sidewalk if the need is documented and funding is available. 

(d) The Department and the local sponsor shall negotiate 
financial responsibilities for a new sidewalk based on planning 
studies. 

(e) The Department shall execute a pedestrian facilities 
maintenance agreement specifying responsibility for long term 
maintenance with the lead government entity or other local 
sponsor prior to construction for a proposed sidewalk. 

Authority G.S. 136-66.1: 143B-346: 143B-350{f): 143B-350(g): 
23 U.S.C. 133: 23 U.SC. 217. 



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PROPOSED RULES 



TITLE 21 - OCCUPATIONAL LICENSING BOARDS 

CHAPTER I - NORTH CAROLINA 
ACUPUNCTURE LICENSING BOARD 

Notice is hiereby given in accordance with G.S. 150B-21.2 
ihal the NC Acupuncture Licensing Board intends to 
amend the rules cited as 21 NCAC 01 .0101: adopt rule 21 
NCAC 01 .0105. Notice of Rule-making Proceedings was 
published in the Register on May 15. 1998. 

Proposed Effective Date: April 1. 1999 

A Public Hearing will he conducted at 10:00 a.m. on 
September 30, 1998 at Management Concepts. 1418 Avers boro 
Road Garner NC 27529. 

Reason for Proposed Action: 21 NCAC 01 .0101 - The 
purpose of this amendment is to update agency names as 
referred to in the rules and to correct a critical clerical error in 
the original rule. 21 NC.4C 01 .0105 - The purpose is to 
establish qualifications for licensure through reciprocity. 

Comment Procedures: Any person may submit comments to the 
Board orally or in writing no later than October 1. 1998 to 
Diana Mills at the NC Acupuncture Licensing Board. 1418 
Aversboro Road. Garner NC 2 7529. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. These Rules do not 
have a substantial economic impact of at least five million 
dollars fS5. 000.000) in a 12-month period. 

SECTION .0100 - LICENSURE 

.0101 QUALIFICATIONS FOR LICENSURE 

In addition to and for the purposes of meeting the 
requirements of G.S. 90-455 an applicant for licensure to 
practice acupuncture shall: 



(1) 
(2) 
(3) 



(4) 



Submit a completed application. 
Submit fees as required by Rule .0103 of this Section. 
Submit proof of a score of not less than 70° o on the 
National — Commission — fef — the — C e rtification — of 
Acupuncturists — (NCCA) National Certification 
Commission for Acupuncture and Oriental Medicine 
(NCCAOM) c e rtifi'ing — e .xamination acupuncture 
written & point location exams or a score of not less 
than 70° from an\ state utilizing the NCCA 
NCCAOM examination. 

Submit a certified copy, certified b>' the issuing 
institution, of a transcript including evidence of 
graduation from a three-year postgraduate 
acupuncture college, accredited by, or in candidac\ 
status by, the Accreditation Commission for 
Acupuncture and Oriental Medicine, or. if outside of 
the U.S.. the California Acupuncture Committee. 



(5) Submit proof of successful completion of the Clean 
Needle Technique course offered by the Council of 
Colleges of Acupuncture and Oriental Medicine 
(CCAOM). 

(6) With any document that is not in English in its 
original form, submit a translation of it into English 
by someone other than the applicant. Each translated 
document shall have affixed to it a notarized 
statement of the translator certifying that he or she is 
competent in both the language of the original 
document and English and that the translation is a true 
and complete translation of the foreign language 
original. The applicant shall assume the cost of any 
document necessary for a complete application. 

(7) Submit all correspondence to North Carolina 
Acupuncture Licensing Board. P.O. Box 25171. 
Ash e vill e . NC 2 8 803. 1418 Aversboro Road. Gamer. 
NC 27529. 

Authority G.S. 90-454: 90-455. 

.0105 QUALIFICATIONS FOR LICENSURE 
THROUGH LICENSE RECIPROCITY 

An applicant for licensure to practice acupuncture in North 
Carolina shall: 

(1) Submit a completed application; 

(2) Submit fees as required by Rule .0103 of this Section: 

(3) Have submitted directK to the North Carolina 
Acupuncture Licensing Board, an official original 
letter from the licensin g board of another jurisdiction 
with whom the North Carolina Acupuncture 
Licensing Board has a reciprocal licensing agreement, 
verifs'ing that the applicant is currently licensed and in 
good standing in such jurisdiction. 

Author ir\- G.S. 90-454: 90-455. 



K W W « W 



■K -K -K -K 



CHAPTER 18 - BOARD OF EXAMINERS 
OF ELECTRICAL CONTRACTORS 

Notice is hereby given in accordance with G.S. 150B-21.2 
that the NC State Board of Examiners of Electrical 
Contractors intends to adopt the rule cited as 21 NCAC 18B 
.0^06: amend the rules cited as 21 NCAC 18B .0108. .0201- 
.0203. .0402. .0406. .0501. .0504-.0505. .0701-.0704. .1101- 
. 1102. . 1104: 1105 and repeal the rules cited as 21 NCAC ISB 
. 1001-. 1004. Notice of Rule-making Proceedings was published 
in the Register on May 15. 1998. 

Proposed Effective Date: March 1. 1999 

A Public Hearing will he conducted at 2:00 p.m. on October ". 
1998 at the Offices of State Board of Examiners of Electrical 
Contractors. 1200 Front Street. Suite 105. Raleigh. NC 2'7609. 

Reason for Proposed Action: The Board and its staff see the 



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13:5 



PROPOSED RULES 



need to study the rules periodically, for needed changes. The 
Board and stafi studied all existing rules to determine whether 
any rules need to he amended or repealed and whether any new 
rules are tieeded. After careful study Board and staff saw the 
need to amend some rules, repeal some rules, and adopt one 
rule. 



contents of the petition subm i tted and pkis any other information 
filed with or obtained by the means describ e d h e rein. Board. 

Authority G.S. 87-42: I50B-20. 

SECTION .0200 -EXAMINATIONS 



Comment Procedures: Interested parties may submit written 
comments to the State Board of Examiners of Electrical 
Contractors, PO Box 18727, Raleigh. NC 27619-8727. by mail, 
or by hand delivery to the Board at 1200 Front Street. Suite 105. 
Raleigh. NC 27609. Written statements must be delivered no 
later than the date and time of the public hearing. Also, oral 
statements may be made at the public hearing. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. These Rules do not 
have a substantial economic impact of at least five million 
dollars ($5,000,000) in a 1 2-month period 

SUBCHAPTER 18B - BOARD'S RULES FOR THE 

IMPLEMENTING OF THE ELECTRICAL 

CONTRACTING LICENSING ACT 

SECTION .0100 -GENERAL PROVISIONS 

.0108 PETITION FOR RULE-MAKING 
PROCEDURES 

(a) Any person wishing to request the Board to adopt, amend, 
or repeal a rule shall addr e s s file a petition te with the Board at 
th e Board's addr e s s , pursuant to G.S. 150B-20, by mail or 
personal delivery. The petition shall be signed by the petitioner 
and shall include the petitioner's address. 

(b) There is no particular form required for the p e tition: 
how e v e r, — the — p e tition e r — should — includ e — the — following 
information: petition. 

f4-) an indication of the subject ar e a to which th e p e tition 
is dir e ct e d and an id e ntification of th e rul e to be 
am e nd e d or r e p e al e d: 

(3) e ith e r a draft of th e proposed rul e or a summary of its 
cont e nt s : 

{¥) r e ason s for th e proposal: 

(4) th e e ff e ct of the proposal on e xi s ting rul e s or orders; 
(#) any data supporting the propo s al: and 

f6) nam e (s) and addresse e s) of p e tition e r(s). 

(c) Th e Board will d e termin e wh e th e r th e public inter e st will 
be s e rved by granting the petition e r's r e qu e st. The Board shall 
grant the petition [f ]t finds the requested rule change would 
comply with the requirements of law and, if so, it would likely 
serve the public interest. Prior to malcing this det e rmination, th e 
The Board may request additional information from the 
p e tition e r(s), petitioner and may contact interested persons or 
persons likely to be affected by the proposal and request their 
comm e nts, or may us e any other appropriat e m e thod for 
obtaining comments m order to obtain information upon which 
to base the determination of public interest. Before granting or 
denying the petition. The the Board shall consider all of the 



.0201 REQUIREMENTS FOR ALL EXAMINATION 
APPLICANTS 

(a) To take an examination in any electrical contracting 
license classification, the applicant must: 

( 1 ) be at least 1 8 years of age: 

(2) submit the required duly filed application as defined 
in Rule .0210: 

(3) submit with the application written statements from at 
least two responsible persons attesting to the 
applicant's good character: and 

(4) meet any other requirements set out in Paragraph (b) 
of this Rule. 

(b) Examination applicants must meet the following 
requirements for the specified license classifications: 

(1) Limited classification. An applicant must have at 
least two four years of primary e xp e ri e nc e or 
experience, as defined in Rule .0202 of this Section. 
of which at least on e y e ar two years shall be ef 
primary e xp e ri e nc e experience, suppl e m e nt e d by 
s e condary e xp e ri e nce equivalent to on e y e ar of 
s uppl e m e ntary' primary e xp e ri e nce as d e fin e d in Rul e 
.0202 of this S e ction. The balance of experience may 
be primary, secondary or both. 

(2) Intermediate classification. An applicant must have at 
least -few six years of primary — e xp e ri e nc e — er 
experience, as defined in Rule .0202 of this Section, 
of which at least two and on e half y e ars of four years 
shall be primary e xp e ri e nc e experience, suppl e m e nted 
by s e condary e xp e ri e nc e e quival e nt to on e and on e 
half y e ars of suppl e m e ntary primary e xperi e nc e as 
d e fin e d in Rul e .0202 of this S e ction. The balance of 
experience may be primary, secondary or both. 

(3) Unlimited classification. An applicant must: 

(A) have at least ftve seven years of primary 
e xp e ri e nc e or experience, as defined in Rule 



0202 of this Section 
ef 



of which at least few 

shall be primary e xp e ri e nc e 
uppl e m e ntod — by — se condary 



e quival e nt — te — one — year — ef 



(B) 



five years 

experience. 

e xp e ri e nce 

suppl e m e ntary primary e xp e ri e nc e as d e fin e d 

in Rul e .0202 of thi s S e ction: The balance of 

experience may be primary, secondary or both, 

and 

submit with his thie application written 

statements from at least two responsible 

persons, who are knowledgeable of the 

applicant's electrical experience, attesting to the 

applicant's abilit>' to satisfactorily supervise 

and direct all electrical wiring or electrical 

installation work done by an electrical 

contracting business in the unlimited 



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503 



PROPOSED RULES 



classification. 
(4) Single famiK detached residential dwelling (SP-SFD) 
classification. An applicant must have at least twe 
four years of primap> e. yp erien c e o r experience, as 
defined in Rule .0202 of this Section, of which at least 
one year of two \ears shall be primar\ e xperi e nc e 
experience, suppl e m e nt e d by se condary experience 
equival e nt to on e y e ar of s uppl e m e ntary primar> 
experienc e a s d e fin e d in Rul e .0202 of thi s S e ction. 
The balance of experience mav be primary, secondary 



or both. 

(5) Special restricted low voltage (SP-LV) classification. 
An applicant must have at least twe three \ears of 
primarv e xp e ri e nc e or experience, as defined in Rule 
.0202 of this Section, of which at least one y e ar of 
two years shall be primarv e xp e ri e nc e experience. 
supplemented b\ s e condary e xp e ri e nc e e quival e nt to 
on e y e ar of suppl e m e ntarv primary e xp e ri e nc e as 
d e fin e d in Rul e .0202 of this Section. The balance of 
experience maN be primary, secondary or both. An 
applicant in this classification must may also receive 
creditable experience for service in anN of the 
capacities listed in Rule .0202 which h e that the 
applicant gained in the low voltage field. 

(6) Special restricted elevator (SP-EL) classification. An 
applicant must: 

(A) have at least four years of primary e xperienc e 
ef experience, as defined in Rule .0202 of this 
Section, of which at least two and one-half 
\ears ef shall be primary experi e nc e 
experience, suppl e m e nt e d — by — s e condary 
experi e nc e e quival e nt to on e and on e half y e ar s 
ef — s uppl e m e ntary — primary — e xp e ri e nc e — as 
d e fin e d in Rul e .0202 of this S e ction. The (9) 
balance of experience ma\ be primary. 
secondary or both. An applicant in this 
classification ma\ also receive creditable 
experience for service in any of the capacities 
listed in Rule .0202 which he that the applicant 

gained in the ele\ ator fi e ld, field, and 

(B) include on hts the application information 
verifying that he the applicant is primariK 
engaged in. or is regularh employed b> and 
will be the listed qualified individual for a firm 
that is primarily engaged in. a lawful elevator 
business in this stat e . State. 

(7) Special restricted plumbing and heating (SP-PH) 
classification. An applicant must: 

(A) have at least twe three \ears of primary 
experience or experience, as defined m Rule 
.0202 of this Section, of which at least on e > ear 
ef two years shall be primary e xp e ri e nc e 
experience, suppl e m e nt e d — by — se condary 
e xp e ri e nc e — e quival e nt — te — ene — year — evf 
suppl e m e ntary primary e xp e ri e nc e as d e fin e d (10) 

in Ru le .0202 of this S e ction. The balance of 
experience may be primary, secondary or both. 
An applicant in this classification may also 



receive creditable experience for service in any 
of the capacities listed in Rule .0202 which h e 
that the applicant gained in the plumbing, 
heating or air conditioning fi e ld, field, and 

(B) include on his the application information 
verifying that he the applicant is primarily 
engaged in. or is regularly employed by and 
will be the listed qualified individual for a firm 
that is primarily engaged in, a lawful plumbing, 
heating or air conditioning business in this 
stater State. 
(8) Special restricted ground water pump (SP-WP) 

classification. An applicant must: 

(A) have at least tyvo years of primary experience 
er experience, as defined in Rule .0202 of this 
Section, of which at least one year ef shall be 
primary e xp e ri e nc e experience, suppl e m e nt e d 
by s e condary exp e rienc e e quival e nt to on e y e ar 
ef — suppl e m e ntary — primary — e xp e ri e nc e — as 
d e fin e d in Rul e .0202 of this Section. The 
balance of experience may be primarv. 
secondary or both. An applicant in this 
classification may also receive creditable 
experience for service in any of the capacities 
listed in Rule .0202 which h e that the applicant 
gained in the ground water pump fi e ld, field, 
and 

(B) include on his the application information 
verifying that he the applicant is primarily 
engaged in. or is regularly employed by' and 
will be the listed qualified individual for a firm 
that is primarily engaged in. a lawful ground 
water pump business in this stat e . State. 

Special restricted electric sign (SP-ES) classification. 

An applicant must: 

(A) have at least two years of primary e xp e ri e nc e 
er experience, as defined in Rule .0202 of this 
Section, of which at least one year ef shall be 



primary e xp e ri e nc e experience, suppl e m e nt e d 
by s e condary experienc e e quival e nt to one > ear 
ef — suppl e m e ntary — primary' — e xp e ri e nc e — as 
d e fin e d in Rul e .0202 of thi s S e ction. The 
balance of experience may be primary, 
secondary or both. An applicant in this 
classification may also receive creditable 
experience in anv of the capacities listed in 
Rule .0202 which h e that the applicant gained 
in the electric sign fi e ld, field, and 

(B) include on his the application information 
verifying that hs the applicant is primarily 
engaged in. or is regularly employed by and 
will be the listed qualified individual for a firm 
that is primarily engaged in. a lawful electric 
sign business in this State. 

Special restricted sv\imming pool (SP-SP) 

classification. An applicant must: 

(A) have at least nvo v ears of primary e xp e ri e nc e 
er experience, as defined jn Rule .0202 of this 



504 



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September I, 1998 



13:5 



PROPOSED RULES 



Section, of which at least one year ef shaM be 
priman. e xp e ri e nc e experience, supplem e nted 
by s e condar. experience e quival e nt to on e > e ar 
of supplementar>' — primar> — e xp e ri e nc e — as 
defined in Rul e .0202 of this S e ction. The 
balance of experience ma\' be primary, 
secondary or both. An applicant in this 
classification may also receive creditable 
experience for service in any of the capacities 
listed in Rule .0202 which h e that the applicant 
gained in the swimming pool fi e ld, field, and 
(B) include on his the application information 
verifying that he the applicant is primarily 
engaged in, or is regularly employed by and 
will be the listed qualified individual for a firm 
that is primarily engaged in. a lawful 
swimming pool business in this stat e . State. 

Authority G.S. 87-42: 87-43.3: 8''-43.4: 87-44. 

.0202 EXPERIENCE 

(a) Primary. Primary experience shall mean working 
experience gained by the applicant while engaged actively and 
directly in the installation of electrical wiring and equipment 
governed by the National Electrical Code or work activities 
directly related thereto. Examples of the capacity in which a 
person may work in gaining primap.' experience include: 

(1) journeyman electrician or electrician m e chanic: 
mechanic, both meaning the same; 

(2) electrical foreman; 

(3) electrical general foreman; 

(4) electrical superintendent; 

(5) electrical general superintendent; 

(6) estimator for licensed electrical contractor; 

(7) electrical inspector recognized as such b\ the State 
Department of Insurance; 



(8) time spent by a r e gist e r e d professional engineer who 

is responsible for follow-up project supervision. 

beyond the point of delivery, in electrical engineering. 

design, or consulting; 
(^ full tim e instructor t e aching National El e ctrical Cod e 

and r e lat e d e l e ctrical cours e s at a community coll e g e . 

t e chnical institut e , college, or similar institution; 
fWK9) maintenance journeyman electrician or electrician 

mechanic employed in a full-time electrical 

maintenance department; 
fJ-J- KIO) time actually spent in electrical maintenance by a 

maintenance joumexTnan electrician or electrician 

mechanic regularly employed in other than a full-time 

electrical maintenance department; 
f43 4(ll) military person holding an electrician rating or rank of 

at least E-4 who is engaged in land based electrical 

installations similar or equivalent to work performed 

h\ an electrical contractor: 
(13') (12) time actually spent in part-time or incidental work in 

any primary experience category. 
In calculating accumulative primary experience, a total of 2.000 
hours shall equal one creditable year. The total number of 
creditable years shall be calculated by dividing the total hours of 
primary experience by 2,000. Example: Individual Applicant 
has worked in primary capacity for a total of 7.200 hours of 
primary' experience. 

7.200 = 3.6 years creditable primary work experience 
2.000 

(b) Secondary. Secondary experience shall mean working 
experience gained while engaged in work or training which that 
is related in varying degrees to the installation of electrical 
wiring and equipment governed by the National Electrical Code. 
Examples of the type of work or training in which a person may 
engage to gain creditable secondary experience and the 
percentages of suppl e m e ntary primary e xp e ri e nc e for creditable 
from secondary experience are as follows: 



(1) 
(2) 
(3) 

(4) 

(5) 



journeyman electrician or electrician m e chanic: mechanic, both meaning the same: 

apprentice electrician or helper other than as described in Items ( I ) and (3) of this list; 

time actualK spent in electrical maintenance b> a maintenance apprentice or electrician 
helper regularly employed in other than a full-time electrical maintenance department; 

e lectrical e ngin e ering cours es at a coll e g e : instructor teaching National Electrical Code and 
related electrical courses at a university, college, community college, technical institute, high 
school or vocational school: 

e l e ctrical cour se s at a t e chnical institute or bv correspond e nce: student satisfactorily 
completing National Electrical Code and related electrical courses at a university, college. 
community college, technical institute, high school or vocational school; 



^ e l e ctrical cours e s at a high school or vocational s chool; 

ffl(6) time spent b> a r e gist e r e d professional engineer who is not responsible for follo\\ -up project 
supervision, beyond the point of delivery, in electrical engineering, design, or consulting; 



Percentage 
100 

80 

80 

50 

60 50 

40 
50 



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SOS 

SBBI 



PROPOSED RULES 



f^(7) electrical construction design under the supervision of a r e gi s t e r e d professional engineer; 
(94(8) sales engineering representative for an electrical wholesaler, distributor, or manufacturer; 
f-l-04(9) appliance service and repair; 
f-l44 ( 10) electric utility lineman; 
f-I^MJJ electric utilits serviceman. 



50 

3^20 
4^20 
3# 10 
40 20 



In calculating accumulative secondary experience, a total of 
2.000 hours shall equal one creditable \ear. The total number of 
creditable \ears shall be calculated by applving the percentage 
for creditable secondary experience and dividing the remainder 
hours by 2.000. Exampl es of conv e rsion of se condarv 
experienc e to primarv exp e ri e nc e : Example: Applicant has 
1.000 hours of work, experience as a helper or regular apprentice 
and 2.200 hours of experience vshile enrolled in an approved 
apprentice training program: 1.100 hours at 80 percent = 800 
hours s uppl e m e ntary primary secondary experience; 2.200 hours 
at 100 percent = 2,200 hours suppl e m e ntary primary secondary 
experience; 

800 :;: 2,200 = 1 .5 years creditable s uppl e m e ntarv- 
2.000 primary' secondary experience 

(c) Other Experience. An applicant may submit for 
e valuation by th e Board information on work, training or 
e ducation h e f ee l s is The Board shall approve other experience 
that ]t finds to be equivalent or similar to the primary or 
secondary experience defined in this Rule. 

Authohn- G.S. 8^-42: 8'-43.3: 8^-43.4. 



or similar to th e nam e in y ^ 'hich a lic e ns e ha s alr e ady b ee n issue. 
If an> lic e ns e applicant obj e ct s to th e s taffs d e t e rmination, he 
may app e al to th e Board for a final d e t e rmination. If the name 
requested, after deleting all spaces, punctuation marks, articles, 
prepositions, conjunctions and, whether abbreviated or not, 
"corporation." "incorporated." "company." or "limited," js not 
identical to the name in yvhich a license has already been issued, 
it shall be distinguishable. The substitution of a numeral for a 
yvord that represents the same numeral shall not make the name 
distinguishable. 



(b) Name In Which Business Must Be Conducted. All 
electrical contracting business, including all business advertising 
and the submission of all documents and papers, conducted in 
the state of North Carolina by a licensee of the Board shall be 
conducted in the exact name in which the electrical contracting 
license is issued. 

(c) Notification of Address and Telephone Change. All 
licensees shall notif\ the Board in writing within 30 days of any 
change in location or mailing address and telephone number. 

Author in' G.S. 8" -42. 



.0203 EXAMINATION SCOPE 

(a) General. In addition to the examination scop e subjects 
specified in G.S. 87-42, qualifying examinations for each license 
classification shall include permit and inspection requirements, 
business practices and the North Carolina laws statutes and rules 
applicable to electrical contracting, contracting, including 
r e v e nu e — lic e ns e — r e quir e m e nts — and — ponnit — and — insp e ction 
r e quir e m e nts. 

(b) Variation in Scope. The examinations for each license 
classification shall be based on a level of technical and practical 
knovsledge concerning the safe and proper installation of 
electrical work and equipment yvhich is appropriat e and that 
corresponds to the electrical contracting work authorized under 
each license classification. 

Authorin-G.S. 8'-42: 8'-43.3: 8~-43.4. 

SECTION .0400 - LICENSING REQUIREMENTS 

.0402 LICENSE NAME REQUIREMENTS 

(a) Issuance of License. No lic e ns e shall b e is s u e d by th e 
Board in a nam e which i s th e same as or similar to The name in 
yvhich a license is issued must be distinguishable upon the 
records of the Board from the name in yshich a license has 
already been issued. Th e Board's staff shall d e t e rmin e wheth e r 
or not th e nam e r e qu e st e d on a lic e n se application is the sam e as 



.0406 RENEWAL AFTER EXPIRATION OF 
ANNUAL LICENSE 

(a) Subject to Rule .0906 of this Subchapter, any licensee 
yvhose license has expired soIeK' because of failure to apply for 
renewal may apply and have rts the license renewed y\ithout 
further examination, and in compliance with the p e nalty 
pro\isions contained in G.S. 87-44. if that the applicant makes 
application th e r e for e yvithin a period of 12 months immediately' 
folloyv ing the date the license expired. 

(b) If the application is filed later than 12 months immediately 
following the date the license expired, the applicant may have 
the license reneyved if. during the 12 month period immediately 
preceding the date the application is filed with the Board, the 
applicant's listed qualified individual has been primarily, activ e ly 
and layvfull> engaged (at l e ast 1,000 hours) as an e l e ctrical 
contractor or for at least 1,000 hours in an occupation y\hich in 
the judg e m e nt of th e Board is similar or e quivalent to that of an 
e l e ctrical contractor, of primary experience as defined in Rule 
.0202 of this Subchapter or completed 18 contact hours of 
approved continuing education. Layvful yvork as d e fin e d und e r 
primary e xp e ri e nce in Rule .0202 of this Subchapt e r shall b e 
consider e d as similar or equival e nt to that of an e l e ctrical 
contractor. If th e 

(c) An applicant fatte failing to meet th e s e r e quirements, the 
requirements of Paragraphs (aj or £bj of thjs Rule it may obtain 
a new license in accordance with Section .0200 of this 



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13:5 



PROPOSED RULES 



Subchapter and Rule .0401 of this Section. 

fb4 (d] The provisions of Section .0600 of this Subchapter 
apply to applicants whose last license expired on or before June 
30. \91Q). 

Authority G.S. 8'' -42. 

SECTION .0500 - LICENSING OPTIONS 

.0501 RECLASSIFICATION OF CURRENT LICENSE 

(a) Afw A licensee has the unr e strict e d right to may low e r 
have the license classification of his lic e n se lowered from 
unlimited er to intermediate or limited, or from te intermediate 
or limit e d to limited, by: 

(1) filing a writt e n r e qu es t with the Board Board, jn 
writing, sp e cifically requesting a request for the 
lowering of hk the license classification; and 

(2) surrendering his the current license certificate to the 
Board for replacement as requested. 

(b) A licensee may have a license that was lowered pursuant 
to Paragraph (a) of this Rule raised to a classification up to and 
including that classification from which it was lowered by: 

(1) filing with the Board, in writing, a request for the 
raising of the license classification; 

(2) surrendering the current license certificate to the 
Board for replacement as requested; and 

(3) paving the applicable license fee. If a change is made 
prior to the expiration of a current license, the fee 
shall be the difference between the annual license fee 
for the existing license and the annual license fee for 
the new class license requested. If the change is made 
at the expiration date, the fee shall be the annual 
license fee for the class license requested. 

f^c) A limited or intermediate licensee whose license has 
not been lowered pursuant to Paragraph (a) of thus Rule ma\ 
have the license classification of his curr e nt lic e ns e raised to 
intermediate or unlimited by: 
submitting: 

(1) an application on a form fijmished by the Board 
indicating the classification of the license desired; 
f4-H2) meeting all the requirements for the classification in 
effect when the application is made, including taking 
and passing the examination; and 
f3^3) paying the applicable license fee. If a change is made 
prior to the expiration of a current license, the fee wtH 
shall be the difference between the annual license fee 
for the existing license and the annual license fee for 
the new class license requested. If the change is made 
at the expiration date, the fee w4W shall be the annual 
license fee for the class license requested. 
(€) £d} Licenses in the single family detached residential 
dwelling (SP SFD) classification and in any special restricted 
classification are not subject to reclassification. A change in 
these classifications can be effected only on the basis of a new 
application subject to all of the normal processing and 
examination requirements. 

Authorit\- G.S. 87-42: 87-43.3: 87-43.4. 



.0504 ONCE LISTED BUT NOT NOW LISTED 

(a) Afl-A qualified individual who ha s onc e b ee n was 
formerly but is not now indicat e d listed on any license may apply 
for and obtain his own a license upon meeting all current 
licensing requirements h e ha s not previously met and by 
submitting to the Board: 

(1 ) his a license application on a form furnished by the 
Board; 

(2) payment of the appropriate license fee; and 

(3) if more than 12 months has elapsed since the list e d 
qualified individual was indicat e d listed on an active 
license, information verifying that, during the 
imm e diat e past tw e lv e months, he has been primarily, 
activ e ly and lawfully e ngaged (at least 1000 hour s ) in 
an occupation which in th e judgm e nt of th e Board i s 
s imilar or e quival e nt to that of an e l e ctrical contractor. 
Lawful work a s d e fin e d und e r primary' e xperience in 
Rul e .0202 of thi s Subchapt e r s hall b e considered as 
s imilar or e quival e nt to that of an e l e ctrical contractor. 
12 month period immediately preceding the date the 
application is filed with the Board, the qualified 
individual has engaged for at least 1.000 hours in an 
occupation of primary experience as defined in Rule 
.0202 of this Subchapter or completed 18 contact 
hours of approved continuing education. 

(b) A qualified individual who was formerly but is not now 
listed on any license may be listed on a current active license in 
the same or a lower classification as the classification of 
examination passed by submitting to the Board; 

(1) a written request from the licensee, co-signed by the 
qualified individual, requesting the Board to list the 
qualified individual on the license; 

(2) the licensee's current license certificate; and 

(3) if more than 12 months has elapsed since the qualified 
individual was listed on an active license, information 
verifying that, during the V2 month period 
immediately preceding the date the application is filed 
with the Board, the qualified individual has engaged 
for at least 1.000 hours jn an occupation of primary 
experience as defined in Rule .0202 of this 
Subchapter or completed 18 contact hours of 
approved continuing education. 

Authority' G.S. 87-42: 87-43. 

.0505 QUALIFIED INDIVIDUAL: NEVER 
LISTED NOR OBTAINED LICENSE 

An A qualified individual who has onc e tak e n and passed the 

qualifying examination for a license but has never obtained a 

license nor been a listed qualified individual on any license shall: 

(1) be eligible to obtain a license in the same or lesser 

lower classification as the classification of 

examination he passed upon meeting any aU current 

licensing requirements h e ha s not previously met and 

by submitting to the Board: 

(a) his a license application on a form flimished by 
the Board; 

(b) paN'ment of the appropriate license fee; and 



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PROPOSED RULES 



(c) if more than tw e lv e 12 months hav e has 

elapsed since the qualified individual took and 

passed the qualifying examination for a license. 

infonnation verifying that, during the 

imm e diat e — past — 1^ — months. — he — has — beea 

primarily, activ e ly and lawfully e ngag e d (at 

least 1000 hours) in an occupation which in th e 

judgm e nt of th e Board i s similar or equival e nt 

to that of an e l e ctrical contractor. Lawful work 

as defined und e r primary e xp e ri e nce in Rule 

.0202 of this Subchapter shall b e consid e r e d a s 

s imilar or e quival e nt to that of an e l e ctrical 

contractor. 12 month period immediately 

preceding the date the application is filed with 

the Board, the qualified individual has engaged 

for at least 1.000 hours jn an occupation of 

primary experience as defined in Rule .0202 of 

this Chapter or completed 18 contact hours of 

approved continuing education. 

(2) be eligible to be included as an additional a listed 

qualified individual on a current active license in the 

same or a lesser lower classification as the 

classification of examination he passed upon 

submitting to the Board: 

(a) a written request from the licensee, co-signed 
by the qualified individual, requesting the 
Board to includ e list the qualified individual as 
on e of th e list e d qualified individuals on his or 
his firm's the license; 

(b) the licensee's current license certificate; and 

(c) if fte more than 12 months have has elapsed 
since the individual took and passed the 
qualifying examination for a license, 
information verifying that, during the 
imm e diat e past — 12 months, h e has b ee n 
primarily, activ e ly and lawfully e ngaged (at 
l e ast 1000 hour s ) in an occupation in which the 
judg e ment of th e Board is s imilar or e quival e nt 
to that of an e l e ctrical contractor. Lawful work 
as d e fin e d und e r primary e xp e ri e nce in Ru l e 
.0202 of this Subchapter shall b e consid e r e d as 
similar or e quival e nt to that of an e l e ctrical 
contractor. — 12 month period immediately 
preceding the date the application is filed w ith 
the Board, the qualified individual has engaged 
for at least 1.000 hours in an occupation of 
primary experience as defined in Rule .0202 of 
this Chapter or completed 18 contact hours of 
approved continuing education. 

Aulhorin-G.S. 87-42: 87-43. 

SECTION .0700 - LICENSING RECIPROCITY 



.0701 GENERAL REQUIREMENTS 

(a) The Board may enter into formal reciprocal agreements 
with contracting licensing boards of other states whereby 
nonresident electrical contractors licensed by the other state 
boards may obtain a North Carolina electrical contracting license 
without written examinations provided: 

(1) The the applicant furnishes to the Board a written 
statement from his the state licensing board certifying 
that he the applicant holds a current electrical 
contracting license issued by that board; 

(2) The the proposed qualified individual for the 
applicant is the same individual who is duly qualified 
for the license currently issued to the applicant by his 
the state licensing board; 

(3) The the applicant files an application on a form 
provided by the Board requesting a license under the 
formal licensing reciprocity agreement currently in 
effect between the Board and the applicant's state 
licensing board; 

(4) Exc e pt except for the written examination 
requirement, the applicant furnish e d furnishes to the 
Board information satisfactorily verifying to the 
Board that he meets all of the requirements in 
Sections .0200, .0300 and .0400 of this Subchapter 
applicable to the specific license classification 
requested; and 

(5) The the applicant furnish e s pays to the Board hi s a 
ch e ck or money ord e r for the annual license fee as 
required in Rule .0404 of this Subchapter for the 
specific license classification requested. 

(b) The expiration date for each license issued under a formal 
reciprocal agreement shall be as prescribed in G.S. 87-44. 

(c) The renewal application due date and late filing penalfy 
for a license issued under a formal reciprocal agreement shall be 
as prescribed in Rule .0405 of this Subchapter. 

fd) Exact copi e s of all formal r e ciprocal agr ee m e nts e nt e r e d 
into by th e Board shall b e fil e d with th e North Carolina 
S e cretary of Stat e and th e North Carolina Attorney General. 

Authority G.S. 8^-42: 8'' -50. 

.0702 RECIPROCITY: SOUTH CAROLINA 

Pursuant to the provisions of Rule .0701 of this Section and 
the formal r e solution reciprocal agreement between the Board 
and the South Carolina Licensing Board for Contractors, 
licensees of the South Carolina Board, who ar e non r e sid e nts of 
North Carolina, board are eligible to apply for and obtain a 
North Carolina electrical contracting lic e ns e license, and North 
Carolina lic e ns ee s, who ar e non r e sid e nts of South Carolina. 
licensees are eligible to apply to the South Carolina board and 
obtain a South Carolina electrical contracting license in 
classifications as prescribed in the following table: 



SOUTH CAROLINA LICENSEE 
Limited 
Intermediate 
Unlimited 



ELIGIBLE FOR NORTH CAROLINA LICENSE 

Limited or intermediate 
Limited, intermediate or unlimited 
Limited, intermediate or unlimited 



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NORTH CAROLINA LICENSEE 
Intermediate 
Unlimited 



ELIGIBLE FOR SOUTH CAROLINA LICENSE 

Limited or intermediate 

Limited, intermediate or unlimited 



Authority G.S. 87-42: 87-50. 

.0703 RECIPROCITY: VIRGINIA 

Pursuant to the provisions of Rule .070 1 of this Section and the formal r e solution reciprocal agreement between the Board and the 
Virginia Board for Contractors, licensees of the Virginia Board, who ar e non r e sid e nts of North Carolina, board are eligible to apply 
for and obtain a North Carolina electrical contracting lic e n se ; license, and North Carolina lic e ns ee s, who are non r e sid e nts of Virginia. 
licensees are eligible to apply to the Virginia Board board and obtain a Virginia electrical contracting license in classifications as 
prescribed in the following table: 



VIRGINIA LICENSEE 
Class B 
Class A 



ELIGIBLE FOR NORTH CAROLINA LICENSE 
Limited or intermediate 
Limited, intermediate or unlimited 



NORTH CAROLINA LICENSEE 
Intermediate 
Unlimited 



ELIGIBLE FOR VIRGINIA LICENSE 
Class A or Class B 
Class A or Class B 



Authority^ G.S. 87-42: 87-50. 

.0704 RECIPROCITY: ALABAMA 

Pursuant to the provisions of Rule .0701 of this Section and the formal r e solution reciprocal agreement between the Board and the 
Alabama Electrical Contractors Licensing Board, licensees of the Alabama board, who ar e non r e sid e nts of North Carolina, board 
are eligible to apply for and obtain a North Carolina electrical contracting license license, and North Carolina licens ee s, who are non 
r e sid e nts of Alabama, licensees are eligible to apply to the Alabama Board board and obtain a an Alabama electrical contracting 
license in classifications as prescribed in the following table: 



ALABAMA LICENSEE 
Unrestricted 



ELIGIBLE FOR NORTH CAROLINA LICENSE 
Unlimited 



NORTH CAROLINA LICENSEE 
Unlimited 



ELIGIBLE FOR ALABAMA LICENSE 
Unrestricted 



Authority- G.S. 8' -42: 87-50. 

.0706 RECIPROCITY: FLORIDA 

Pursuant to the provisions of Rule .0701 of this Section and the reciprocal agreement between the Board and the Florida Electrical 
Contractors Licensing Board, licensees of the Florida board are eligible to apply for and obtain a North Carolina electrical contracting 
license, and North Carolina licensees are eligible to apply to the Florida board and obtain a Florida electrical contracting license in 
classifications as prescribed in the following table: 



FLORIDA LICENSEE 
Unlimited 



ELIGIBLE FOR NORTH CAROLINA LICENSE 
Unlimited 



NORTH CAROLINA LICENSEE 
Unlimited 



ELIGIBLE FOR FLORIDA LICENSE 
Unlimited 



Author it^' G.S. 87-42: 87-50. 



SECTION .1000 - DESCRIPTION OF FORMS, 
CERTIFICATES AND PUBLICATIONS 

.1001 FORMS PROVIDED BY THE BOARD 

{et) — Examination Application s . — An application form is 
provided to a p e rson wishing to apply to tak e a qualifying 



e xamination for an e lectrical contracting lic e ns e . Th e form i s 
d e sign e d for an applicant to furnish th e following information: 

( I \ dcAe' 

(3) nam e , addr e ss and t e l e phon e numb e r; 

\jf age, 

(-+) social s e curity numb e r; 



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PROPOSED RULES 



wh e th e r or not applicant has tak e n a qualifying 

e xamination pr e viouGlv: 

ciassitlcation of lic e ns e for which applicant v s ish e s to 

qualify and amount of application e xamination f ee ; 

e ducationa l background: 

e xp e ri e nce background: 

charact e r r e f e r e nc e s: 

criminal convictions: 

other r e f e r e nc e s or information applicant wish e s th e 

Board to consid e r: 

authorization for board to r e s e arch all information 

submitt e d on or in support of applicant: and 

signature of applicant. 



m 

{]0\ 

{^ 

(#) Examination R e vi e w Applications. Each failing e xamin ee 
is pros id e d a form for his use in appK ing for a d e tail e d r e vi e w 
of his failed e xamination. — This form is d e sign e d for th e 
applicant to furnish th e following information: 

/ 1 \ Hntf 

\ I J UULC 

(3) nam e , address and t e l e phon e numb e r; 
(5^ social s e curity numb e r: 

f4-) dat e h e took hi s fail e d examination: 

(4) location in which h e took hi s fail e d e xamination: 
(#) e xamination re\ i e x* . f ee : and 

f74 signatur e of applicant, 
(c) Lic e nse Applicants. Each lic e ns e applicant is pro\idod 
with an application form for his us e in initialK appKing for a 
licens e . Th e form i s d e signed for th e applicant to furnish th e 
following information: 



(3) 
(44 






(*4 
f++4 



classification of lic e ns e for which h e is applying: 
nam e in which h e w ish e s th e lic e ns e to b e issu e d: 
busin e ss mailing and location addr e ss: 
busin e ss and hom e t e l e phon e numb e rs: 
\s h e th e r business is partn e rship, corporation or limit e d 
liability compan\ and. if so. the nam e s of th e partn e rs, 
the names and titl e s of offic e rs of th e corporation or 
names of the m e mb e rs of th e limit e d — liabilit> 

5 5 is to b e op e rat e d part tim e or full 



companv: 
v' . h e th e r bus 



wes 



tim e : 



nam e s, signatur es and social security numb e rs of th e 
li s t e d qualifi e d individuals to b e indicat e d on the 
licens e : 



annual licens e f e e: 
criminal convictions: 

authorization for board to r e s e arch all information 
submitted on or in support of application; 
dat e : and 

signatur e and titl e of applicant, 
(d) Lic e ns e R e n e wal Applications. Each license e is provided 
\s ith an annual lic e ns e r e n e wal application form prior to th e 
e xpiration of his curr e nt annual lic e ns e . This form is d e sign e d 
for the licensee to furnish the follow ing information: 
f4-) nam e in which hi s lic e ns e is currentlv' issu e d: 
(24 xvh e th e r lic e n se is to b e r e n e w e d in same name or. if 
not. n e \s nam e in sshich h e wish e s lic e n se to b e 
r e n e vs e d: 
(3^ mailing and busin e ss location addr e s s : 
f44 bus i n e ss and hom e t e l e phon e numb e rs: 



f§4 \' > h e th e r busin e ss is to b e operated part tim e or full - 
tim e : 
f64 wh e th e r busin e ss is partn e rship, corporation or limit e d 
liabilit> company and. if so. th e names of th e partn e rs, 
th e nam e s and titl e s of offic e rs of the corporation or 
nam e s of th e m e mb e rs of th e limit e d liabilit\' 
companv: 
f?4 nam es , signatur e s and social s e curity,' numbers of the 
list e d qualifi e d individuals to bo indicat e d on n e w 
annual lic e ns e : 
{^ annual lic e ns e f e e; 

{9^ authorization for board to r e s e arch all information 
submitt e d on or in s upport of application: 
f+e4 dat e : and 

f444 s ignatur e and titl e of applicant. 
fe4 — R e qu e st for Chang e of Nam e or Address in Which 
Licens e Is Issu e d. A lic e ns e e wishing to change his lic e ns e nam e 
or addr e ss is furnish e d a form for his u se in r e qu es ting a chang e 
of nam e or addr e ss. This form is d e sign e d for th e lic e ns ee to 
furni s h th e following information: 

fH nam e and addr e ss in which lic e ns e is curr e ntK' issu e d: 

(34 nam e and addr es s in which lic e n se is to b e r e i s su e d: 
(54 wh e th e r busin e ss is to b e op e rat e d part tim e or full 

tim e : 
(-H whether busin e ss is parm e rship. corporation or limited 

liabilitv companv and. if so. th e nam e s of the partn e rs. 

th e nam e s and titl e s of offic e rs of th e corporation or 

names of the memb e rs of th e limit e d liability 

compan\: 
(§4 c e rtification of list e d qualifi e d individual b> nam e and 

conditions of emplo\Tn e nt: 
(§4 nam e and title of person filing r e qu e st and dat e of 

r e qu e st: and 
f74 signature of list e d qualifi e d individual. 

(f) Lic e ns e Application s : South Carolina R- e ciprocit). Th ese 
forms ar e d e sign e d for an applicant to furnish the sam e tvpe of 
information as is provid e d on th e forms d e scrib e d in Paragraphs 
(c) and (d) of this Rul e , with th e following addifional 
information: 

(+4 nam e in which applicant' s curt e nt South Carolina 

licens e is issu e d: 
(34 cla s sification of applicant's South Carolina licens e : 
(^ numb e r of curr e nt South Carolina lic e ns e : 
(44 stat e m e nt from South Carolina Licensing Board for 
Contractors — c e nifiing — the — individuals — whe — are 
qualifi e d und e r the applicant's South Carolina lic e ns e 
and th e e xt e nt of each indiv idual's qualifications: and 
{&j nam e s, signatur e s and social security numb e r s of th e 
listed qualifi e d individuals on South Carolina lic e ns e 
and to b e indicat e d as s uch on North Carolina lic e nse r 

(g) Lic e ns e Application: Alabama R e ciprocity. Th e s e forms 
ar e d es ign e d for th e applicant to furnish es s e ntialK th e sam e 
t>p e of information as is provid e d on th e forms describ e d in 
Paragraphs (c). (d) and (f) of this Rule. 

(h) Licens e Application: Virginia Reciprocity-. Thos e forms 
ar e d es ign e d for th e applicant to furnish e ss e ntialK the sam e 
t>p e of information as is prov id e d on the forms d e scribed in 



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September 1, 1998 



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PROPOSED RULES 



Paragraphs (c). (d) and (f) of this Rul e . 

(i) Bonding Abiht> Stat o mont. A bonding abiliW stat e m e nt 
form is provid e d to an apphcant wishing to obtain a hc e ns e in 
either th e int e rm e diat e or unhmit e d classification. Thi s form i s 
to b e completed by a bonding company duly lic e n se d to i s su e Authority^ G.S. 87 
p e rformanc e bonds in North Carolina. Th e form i s design e d for 87-44. 
the bonding company to stat e its bonding e xp e rienc e with th e 
applicant and amount of performanc e bond th e bonding .1003 



el e ctrical contracting lic e ns e , and, wh e n duly lic e ns e d by th e 
Board, i s e ntitl e d to engage or off e r to e ngag e in th e busin ess of 
electrical contracting in th e Stat e of North Carolina. 



■39: 87-42: 87-43: 87-43. 1: 87-43.3: 87-43.4: 



company would b e willing to issu e to th e applicant on the dat e 
the form is compl e ted and sign e d. Th e s ign e r' s power of attorn e y 
must accompany the bonding ability statement form. 



(j) Certification of List e d Qualifi e d Individual. This form is 
provid e d to any lic e n see or applicant for a lic e n se whos e list e d 
qualifi e d individual i s s omeone oth e r than th e lic e ns ee or 
applicant for a lic e nse. This form is d e sign e d for the licensee or 
applicant for a lic e nse to certify' who will b e th e listed qualifi e d 
individual for th e licens ee and that th e list e d qualified individual 
is. or will be. regularly e mploy e d by th e lic e n see and has. or will 
hav e , the specific duty and authority to supervise and dir e ct all 
e l e ctrical installation, maint e nanc e , alteration or r e pair of any 
e l e ctric wiring, d e vic es , applianc e s or equipm e nt don e in th e 
nam e of the lic e ns ee . 

(k) Affidavit c e rtifying Bona Fid e Employ ee . This affidavit 
form is provid e d to any lic e ns ee whos e r e lationship with hi s Statutory Authority G.S. 87-42. 
e mploy e es has been challenged and it is all e g e d that s om e on e 



PUBLICATIONS AVAILABLE FROM THE 
BOARD 

Th e following publications ar e availabl e from the Board: 
(44 Laws applicabl e to e l e ctrical contracting in th e State 
of North Carolina; 

(3) Rul e s of th e Board, including rul es of g e n e ral 
applicability and rul es applicabl e to sp e cial r e strict e d 
classifications; 

(5^ Information bookl e t for p e rsons applying to take the 
qualifying e xamination for an e l e ctrical contracting 
lic e ns e in e ach lic e ns e classification; 

(4) Annual Continuing Education Information Bookl e t; 

(^ Th e National El e ctrical Cod e . NFPA 70. at th e curr e nt 
pric e . 



oth e r than his bona fid e employ e e is e ngag e d in e l e ctrical work 
und e r th e auspic e s of his license. The form must contain th e 
signatur e and title of the p e rson compl e ting th e form and mu s t 
b e notariz e d. Th e form is designed for th e lic e ns ee to furni s h 
information e stabli s hing complianc e with th e r e quir e m e nts of 
Rul e .0306(a)(2) and (3) of thi s Subchapter. 

Authority G.S. 87-42: J50B-II. 

.1002 CERTIFICATES 

(a) Annual Lic e ns e C e rtificat e . Th e Board issues an annual 
lic e n se c e rtificat e to e ach e ligibl e lic e ns ee . This certificate 
contains th e following information: 

f+4 fiscal y e ar for which lic e n se is i s su e d; 

(3) cla s sification of lic e n se i s su e d; 
0) nam e in which lic e ns e i s is s u e d; 

(4) nam e s of all li s t e d qualifi e d individuals; 
{&j dat e lic e n se is i ss u e d; and 
(6) signatur e of chairman and s e cr e tary tr e asur e r of th e 

Board; 

(b) P e rman e nt Pock e t Card. Th e Board issu es a p e rman e nt 
pocket identification card i s issu e d to e ach p e rson who has tak e n 
and pass e d the qualify'ing e xamination for a lic e n se . This card 
contains the following information: 

fB th e nam e of e xaminee; 

(3) classification of examination pa sse d; 

(34 plac e of e xamin e e's s ignatur e . 
(e) — P e rman e nt C e rtificate. The Board is s ues a perman e nt 
c e rtificat e to e ach p e rson who has tak e n and pass e d a qualifying 
e xamination for an e l e ctrical contracting license in either the 
limited, interm e diat e , or unlimit e d lic e ns e classification. This 
c e rtificat e is not a lic e n se . — It c e rtifi es that th e p e rson nam e d 
th e r e on has met the technical qualification r e quir e m e nts for an 



.1004 OTHER PUBLICATIONS 

Other publications of int e r e st may b e obtain e d a s follows: 
(44 North Carolina Stat e Building Cod e : 

Volum e I; 

Volum e II; 

Volum e III; 

Volum e IV Electrical 

N.C. D e partm e nt of Insuranc e 

Po s t Offic e Box 263 8 7 

Ral e igh. N.C. 27611 
{¥> Statut e s and rul es applicabl e to — Stat e r e v e nu e 

privil e g e and bidd e rs lic e n se : 

N.C. D e partm e nt of R e v e nu e 

Post Offic e Box 25000 

Ral e igh. N.C. 276 4 
(34 Statut e s and rul e s applicabl e to installing, servicing or 

r e sponding to e l e ctrical burglar alarm syst e ms, e tc.. 

Privat e Prot e ctiv e S e rvic e s Act. G.S. Chapt e r 7 ' 1C: 

Privat e Prot e ctiv e S e rvic e s Board 

Post Offic e Box 29500 

Ral e igh. N. C. 27626 
(44 Th e National El e ctrical Cod e Handbook: 

National Fir e Prot e ction Association 

Batt e Pi'march Park 

Quincy. Mass. 02269 
(^ North Carolina Con s truction Manual. Outlining 

polici e s for th e planning, designing, construction 

and r e novation of buildings, structur es and oth e r 

capital improv e m e nts: 

Division of Stat e Construction 

D e partm e nt of Administration 

300 North Salisbury Str ee t 

Ral e igh. N.C. 27611 



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511 



PROPOSED RULES 



Aiithorin- G.S. H'-42 



SECTION .1100 - CONTINUING EDUCATION 



ill 



.1101 CONTINUING EDUCATION 

REQUIREMENTS: LISTED QUALIFIED 
INDIVIDUALS 

(a) Eff e ctiv e July 1. 1991. ever>' Every listed qualified 
individual, including listed qualified individuals pursuant to G.S. 
87-50. shall complete six contact hour s of approv e d continuing 
education for each license period (July 1 - June 30) to renew the 
license on which he the qualified individual is currently listed. 
for the next license period, except as follov\ s: 

(1) Individuals individuals becoming qualified by 
examination during the 12 month period immediately 
preceding the license renewal date; 

(2) Qualifi e d qualified individuals unable to fulfill the 
required number of hours as the result of illness er 
undue hardship as certified in writing by the attending 
phy s ician physician: or oth e r r es ponsibl e p e r s on and 
the — waiv e r — of thi s — r e quir e m e nt — as — s p e cifically 
approv e d by th e Board; or 

(3) Approv e d approved instructors actually presenting 
courses in accordance with this Section. 

(b) The number of required contact hours for every listed 
qualified individual shall be determined b\' the classification of 
license on which the qualified individual is currently listed as 
follows; 

qualified individuals currently listed on a license in 

the limited, intermediate, unlimited and special 

restricted single family dwelling classifications shall 

complete at least eight hours of approved continuing 

education for license renewal, and 

qualified individuals currently listed on a license in 

the special restricted lovy voltage (SP-LV). special 

restricted elevator (SP-EL). special restricted 

plumbing and heating (SP-PH>. special restricted 

ground vsater pump (SP-WP). special restricted 

electric sign (SP-ES) and special restricted swimming 

pool (SP-SP) classifications shall complete at least 

four hours of approved continuing education for 

license renewal. 

(^ (c} The Beard Board, pursuant to Rules .1102 and .1103 

of the Section, approves course sponsors and instructors, not 

particular courses, except as provided in Paragraph fe) (jQ of this 

Rule. A cours e provid e d by an approv e d spon s or is pr e sum e d 

to moot th e r e quir e m e nt s a s s e t forth in th e s e Rul e s. Because of 

differences in the electrical contracting industry and individual 

needs of listed qualified individuals, each qualified individual 

must exercise judgment in selecting courses for which 

continuing education is claimed and in choosing only those 

courses that will advance h+s the individual's knowledge. 

fe-) (dj Course sponsors may' be. but are not limited to. colleges 

or univ ersities. community colleges, trade associations, providers 

of self-study programs, employers, third party professional 

examination companies, private instructors and the like. 

(4) (_ej North Carolina listed qualified individuals residing 



ill 



within the state must obtain the required continuing education 
hours b) taking a course provided by an approved sponsor. 

(^ (f} North Carolina listed qualified individuals residing 
outside of North Carolina, including listed qualified individuals A 
pursuant to G.S. 87-50. may obtain credit for courses offered in ^ 
North Carolina. They may also obtain c redit for courses offered 
in their state, province or country of residence and provided by 
non-approved sponsors or instructors provided the Board 
subsequently approves the courses talc e n. taken, pursuant to Rule 
.1102(b) of this Section. 

Authority G.S. 8" -42: 87-44.1. 

.1102 MINIMUM REQUIREMENTS FOR COURSE 
SPONSOR APPROVAL 

(a) Each course sponsor shall submit an application for 
continuing education course sponsor approval to the Board on a 
form provided by the Board by March 1 of the year prior to the 
license period (July 1 - June 30) in which the course will be 
offered. The application shall include but is not limited to: 

The tlie name of the sponsor: 

Spon s or sponsor contact person, address and 

telephone number: 

Cours e course title and outline; 

Cour se course contact hours: 

Sch e dul e schedule of courses. 



(1) 
(2) 



(3) 

(4) 
(5) 



if established. 



including dates, time and locations: 
Course course fee: and 



(6) 

(7) Nam e (s) name(s) of instructor(s). 

(b) To qualify as an approved continuing education course 
sponsor: 

( 1 ) Th e cours e all courses offered bv the sponsor shall 
last s ix or mor e contact hours: no feyver than the 
minimum number of contact hours required for the 
license classification pursuant to Rule .1101(b) of this 
Section; and 

(2) Th e cours e all courses offered bv the sponsor shall 
cover articles of the current National Electrical Code: 
G.S. 87. Article 4; Title 21 North Carolina 
Administrative Code Chapter 18B: or other subject 
matter satisfying the requirements in G.S. 87-44. 1 as 
approved by the Board. 

(c) The course offered shall be presented by one or more 
instructors approved by the Board. 

(d) The course sponsor or instructor shall provide the Board 
with a certified class roster of all attending qualified individuals 
within 30 days after the completion of each course. 

(e) The course sponsor or instructor shall provide each 
attending qualified individual with a certificate of completion 
within 30 days after completion of each course. 

(f) The Board shall approve or deny applications at its April 
meeting. 

(g) App e al s from d e nials s hall b e heard by th e Board at a 
sch e dul e d m ee ting in May. 

^^ tgj Upon approval of the application, each approved 
sponsor shall agree to conduct courses in accordance with this 
Section and shall indicate its agreement b\ signing a continuing 
education sponsor agreement form provided by the Board. 



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Authority G.S. 87-42: 87-44. 1. 

.1104 CONTACT HOURS 

(a) Approved courses must be offered for six or mor e contact 
hours, no fewer than the minimum number of contact hours 
required for the license classification pursuant to Rule . 1 1 Kb) 
of this Section. Credit wtH shall be given only in multiples of 
SHt eight contact hours (6, 12, 1 8 ). (8^ JA 24} for the limited, 
intermediate, unlimited and special restricted single family 
dwelling classifications and multiples of four contact hours (4, 
8, 12} for the special restricted low voltage (SP-LV), special 
restricted elevator (SP-EL), special restricted plumbing and 
heating (SP-PH), special restricted ground water pump (SP-WP). 
special restricted electric sign (SP-ES) and special restricted 
swimming pool (SP-SP) classifications. 

(b) Credit shall be granted to the qualified individual only 
upon completion of an entire course. 

(c) When a qualified individual has completed more than the 
required number of hours of continuing education in any one 
license period, the extra hours may shall be carried forward in 
multiples of six as specified in Paragraph (a) of thjs Rule and 
treated as hours earned in the following one or two additional 
license periods. 

(d) No credit wiU shall be granted for courses attended prior 
to July 1, 1991. 

(e) No credit wiH shall be granted for courses attended prior 
to being qualified by examination. 

Authority G.S. 87-42: 87-44.1. 

.1105 COMPUTATION OF CONTINUING 
EDUCATION HOURS 

(a) Group Courses: Non-college. Continuing education 
credit for a group coiirse that is not part of a college curriculum 
is given based on contact hours. A contact hour is 50 minutes of 
instruction. Credit is granted only for full contact hours. For 
example, a group cours e lasting 300 minut e s is six contact hours 
and thus satisfi e s on e y e ar of th e continuing education 
requirem e nt. 

(b) College Courses. Continuing education credit for a 
college course in the college curriculum is given based on 
college credit hours. One semester hour of college credit is 15 
contact hours; one quarter hour of college credit is 1 1 contact 
hours; and one continuing education unit (CEU) is ten K) contact 
hours. 

(c) Self-Study Courses. Continuing education credit for a 
self-study course is given based on the average number of 
contact hours needed to complete the course. The course shall 
include a written examination having a minimum of 25 questions 
and a minimum passing grade of 70. On e half of th e av e rag e 
compl e tion tim e i s allow e d for continuing e ducation cr e dit. A 
sponsor must determine the average number of contact hours it 
takes to complete the self-study course and submit this 
information with its application for continuing education course 
sponsor approval. 

(d) Examination. Continuing education credit for an 
examination is given based on the type of examination, 
maximum number of questions, maximum number of hours 



permitted to take the examination, and minimum passing grade. 
The examination shall include a minimum of 25 questions and 
a minimum passing grade of 70. A sponsor must d e t e rmin e set 
the number of hours permitted to take the examination and 
submit this information with its application for continuing 
education course sponsor approval. 

(e) Totaling Annual Hours. No credit shall be allowed for a 
course having a total of f e w e r than six contact hours, fewer than 
the minimum number of contact hours required for the license 
classification pursuant to Rule .1101(b) of thjs Section. A 
eetiFse Courses held for license classifications pursuant to Rule 
.IIOUb)(l) ofthis Section and lasting b e tw ee n from s ix and 1 1 
eight to 15 contact hours wi44 shall satisfy one year of the 
required continuing education; a course lasting between fi"om 43- 
4^ 16 to 23 contact hours will shall satisfy two years of the 
required continuing education; and a course lasting 4-8 24 or 
more contact hours vAU shall satisfy three years of the required 
continuing education. Courses held for license classifications 
pursuant to Rule .1101(b)(2) ofthis Section and lasting from 
four to seven contact hours shall satisfy one year of the required 
continuing education; a course lasting from eight to 1 1 contact 
hours shall satisfy two years of the required continuing 
education; and a course lasting 12 or more contact hours shall 
satisfy three years of the required continuing education. Credit 
hours for more than one year are subject to the provisions of 
Rule .1 104(c) ofthis Section. 

Authority G.S. 87-42: 87-44.1. 

CHAPTER 57 - REAL ESTATE 
APPRAISAL BOARD 

Notice is hereby given in accordance with G.S. 150B-21.2 
that the North Carolina Appraisal Board intends to 
amend the ruleS cited as 21 NCAC 57A .0101-.0102. .0201- 
.0208. .0210. .0301-.0306. .0401-.0407. .0501. Notice of Rule- 
making Proceedings was published in the Register on July 1. 
1998. 

Proposed Effective Date: .April 1. 1999 

A Public Hearing will be conducted at 9:00 a.m. on September 
30. 1998 at 3900 Barrett Drive. Raleigh. NC. 

Reason for Proposed Action: G.S. 93E-1. the North Carolina 
Appraiser Act. was amended in 1995 to add the categoiy of 
registered trainee to those licensed by the Appraisal Board, but 
the rules were not amended to reflect that change. In addition, 
there has been a change in requirements in both the 
qualifications for the four categories of licensees as well as the 
number of hours of continuing education required annually by 
the Appraiser Qualifications Board of the Appraisal Foundation 
in Washington DC. and there is a need for the Board to come 
into compliance with those requirements (Title XI of the U.S. 
Code. 12 U.S.C. 335 et seq). 



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513 



PROPOSED RILES 



Comment Procedures: Wriiien comments siiuuld be addressed 
to A^ Mellon Black. Jr.. Executive Director \orth Carolina 
Appraisal Board. PO Box 20500. Raleigh. \C 2~ 6 19-0500. 

Fiscal Note: These Rules do not affect the expenditures or 
revenves of state or local government funds. These Rules do not 
have a substantial economic impact of at least five million 
dollars (S5. 000.000) in a 1 2-month period. 

SUBCHAPTER 57A - LICENSING. CERTIFICATION 
AND PRACTICE 

SECTION .0100 - APPLICATION FOR REAL ESTATE 
APPRAISER LICENSE OR CERTIFICATE 

.0101 FORM 

A person who wishes to file an appHcation for a real estate 
trainee registration, appraiser license or certificate ma\ obtain 
the required form upon request to the Board. In general, the 
form calls for information such as the applicant's name and 
address, the applicant's social securit\ number, a recent passport 
size photograph of the applicant, places of residence and 
empioNTnent. education, and such other information as may be 
necessan. to identify the applicant and determine his 
qualifications and fitness for registration, licensure or 
certification. 

Authority- G.S. 93E-!-6(a/: 93E-1-10. 

.0102 FILING AND FEES 

(a) Each application for registration, licensure or fef 
certification must be filed in the proper form and must be 
accompanied bs the required application fee plus such additional 
fee as the Board ma\ from time to time establish to defra\ the 
cost of an> competenc\ examination administered b\ a pri\ate 
testing ser\ ice. The Board ma\ reject and return to the applicant 
an\ application which is incomplete, not in proper form, or not 
accompanied b\ the required fee or fees. Application fees 
accompan) ing complete applications submitted in proper form 
are not refundable. 

(b) The following fees shall be charged: 
( 1 ) application for original trainee 

registration S150.00: 

f44(2j application for original residential appraiser 

license S150.00; 

fj-K3) application for original residential appraiser 

certificate SI 50.00: 

fj-H4) application for original general appraiser 

certificate SI 50.00: 

(c) Pa\ment of application fees shall be made h\ certified 
check, bank check or mone\ order pa\able to the North Carolina 
Appraisal Board. 

Authority G.S. 93E-1-6: 93E-1-10. 

SECTION .0200 - APPRAISER LICENSING AND 
CERTIFICATION 



.0201 QLALIFICATIONS FOR TRAINEE 

REGISTRATION, APPRAISER LICENSURE 
AND CERTIFICATION 

(a) Applicants for trainee registration, licensure as a state- 
licensed residential real estate appraiser and for certification as 
a state-certified real estate appraiser must satisfy the 
qualification requirements stated in G.S. 93E-1-6 as further set 
forth in Subparagraphs (a)( 1 ). f5^ 2^an^ (3) and(4j of this Rule, 
provided however that registration as a trainee or licensure as a 
state-licensed residential real estate appraiser is not prerequisite 
for certification as a state-certified residential or general real 
estate appraiser: 

(1) Applicants for trainee registration shall have 
completed, within the fi\e-\ear period immediateh 
preceding the date application is made, courses in 
introduction to Real Estate Appraisal. Valuation 
Principles and Practices, and Applied Residential 
Property Valuation each consisting of at least 30 
classroom hours of instruction, or appraisal education 
found b\ the Board to be equi\ alent to such courses. 

fj4(2) Applicants for licensure as a state-licensed residential 
real estate appraiser shall ha\e completed, within the 
five-year period immediateh preceding the date 
application is made, courses in introduction to Real 
Estate Appraisal. Valuation Principles and Practices, 
and Applied Residential Property Valuation each 
consisting of at least 30 classroom hours of 
instruction, or appraisal education found b> the Board 
to be equivalent to such courses: and ha\e at least 
2.000 hours of appraisal experience. 

fJ-H3) Applicants for certification as a state-certified 
residential real estate appraiser, within the fi\e-\ear 
period immediateh preceding the date application is 
made, shall ha\e completed those courses required for 
licensure as a state-licensed residential real estate 
appraiser or equi\alent education and. in addition, a 
course in introduction to Income Property Appraisal 
consisting of at least 30 classroom hours of 
instruction or equi\alent education: and shall ha\e 
obtained at least 2.500 2000 hours of appraisal 
experience acquired ov er a minimum period of nvo 
calendar > ears. 

f34(4) Applicants for certification as a state-certified general 
real estate appraiser, within the fi\e-year period 
immediateh preceding the date application is made, 
shall ha\e completed those courses required for 
certification as a state-certified residential real estate 
appraiser or equivalent education and. in addition, 
courses in Advanced Income Capitalization 
Procedures and .Applied Income Property Valuation 
each consisting of at least 30 classroom hours of 
instruction or equivalent education: and shall have 
obtained at least 3.000 2.000 hours of appraisal 
experience acquired over a minimum period of X\\o 
and a half calendar years of which at least 50 percent 
must ha\e been in appraising non-residential real 
estate. 

(b) When a trainee becomes a state-licensed or state-certified 



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PROPOSED RULES 



real estate appraiser or when a state-licensed real estate appraiser 
becomes certified as a state-certified real estate appraiser, his 
licensure shall be immediateh' canceled by the Board. When a 
■ state-certified residential real estate appraiser becomes certified 
as a state-certified general real estate appraiser, his certification 
as a state-certified residential real estate appraiser shall be 
immediately canceled by the Board. 

Authorin'G.S. 93E-1-6: 93E-1-10. 



.0202 CHARACTER 

(a) At a meeting of the Appraisal Board following each real 
estate trainee, appraiser licensing or certification examination, 
the applicants who have passed the examination shall be 
considered for licensure or certification. When the moral 
character of an applicant is in question, action by the Board will 
be deferred until the applicant has affirmatively demonstrated 
that he possesses the requisite truthfulness, honesty and 
integrity. 

(b) When the moral character of an applicant is in question, 
the Board shall notify the applicant and the applicant shall be 
entitled to demonstrate his character and fitness for licensure or 
certification at a hearing before the Board. 

(c) Notice to the applicant that his moral character is in 
question shall be in \NTiting. sent by certified mail, return receipt 
requested, to the address shown upon the application. The 
applicant shall have 60 days from the date of receipt of this 
notice to request a hearing before the Board. Failure to request 
a hearing within this time shall constitute a waiver of the 
applicant's right to a hearing on his application for trainee 
registration, licensing or certification, and the application shall 
be deemed denied. Nothing in this Rule shall be interpreted to 
prevent an applicant from reapplying for licensure or 
certification. 



» 



♦ 



Authority G.S. 93E-1-10. 

.0203 LICENSE AND CERTIFICATE RENEWAL 

(a) A holder of a trainee registration, an appraiser license or 
certificate desiring the renewal of such registration, license or 
certificate shall, during the month of June, apply for same in 
writing upon the form approved by the Board and shall forward 
the required fee of two-hundred dollars (S200.00). Forms are 
available upon request to the Board. 

(b) All trainees, licensees and certificate holders either active 
or inactive, resident or non-resident who are required by G.S. 
93 E- 1-7 to complete continuing education as a condition of 
renewal, shall be required to satisfy the continuing education 
requirements set forth in Rule .0204 of this Section. 

(c) An applicant applying for renewal of a registration. 
license or certificate obtained by reciprocity must submit with 
the renewal application a current license history from the 
appraiser regulatory authority of the state upon whose 
qualification requirements the reciprocal registration, license or 
certificate was granted showing that the applicant is currently 
registered, licensed or certified in good standing. Submission of 
false or misleading information to the Board in connection with 
registration, license or certificate renewal shall constitute 



grounds for disciplinary action. 

(d) Any person who acts or holds himself out as a state- 
registered trainee, state-licensed or state-certified real estate 
appraiser while his trainee registration, appraiser license or 
certificate is expired will be subject to disciplinary action and 
penalties as prescribed in G.S. Chapter 93E. 

Authorit}- G.S. 93E-l-7(a)(b); 93E-I-10. 

.0204 CONTINUING EDUCATION 

(a) All real estate appraiser licensees and certificate holders 
shall, upon the second renewal of their license or certificate 
following their initial licensure or certification by the Board, and 
upon each subsequent renewal, present evidence satisfactory to 
the Board of having obtained, within the immediately preceding 
licensing/certification period (July 1 - June 30) education 
consisting of at least 14 tee classroom hours of instruction. 
Additional hours of approved instruction may be carried forward 
and recognized for purposes of meeting the continuing education 
requirement only as provided in Paragraph (c) of this Rule. 
Except as provided in Paragraphs (f) and (g) of this Rule, such 
education must have been obtained by taking courses approved 
by the Board for continuing education purposes. Such education 
must relate to real estate appraisal and must contribute to the 
goal of improving the knowledge, skill and competence of state- 
licensed and state-certified real estate appraisers. There is no 
exemption from the continuing education requirement for 
appraisers whose licensed or certified status has been upgraded 
to the level of certified residential or certified general appraiser 
since the issuance or most recent renewal of their license or 
certificate, and courses taken to satisfy the requirements of a 
higher level of certification may not be applied toward the 
annual continuing education requirement. 

(b) Each appraisal continuing education course must involve 
a minimum of three and one-half classroom hours of instruction 
on real estate appraisal or related topics such as the application 
of appraisal concepts and methodology to the appraisal of 
various types of property; specialized appraisal techniques; laws, 
rules or guidelines relating to appraisal; standards of practice and 
ethics; building construction; financial or investment analysis; 
land use planning or controls; feasibility analysis; statistics; 
accounting; and similar topics. The license or certificate holder 
must have attended at least 90 percent of the scheduled 
classroom hours for the course in order to receive credit for the 
course. 

(c) A licensee who elects to take approved continuing 
education courses in excess of the minimum requirement of 14 
ten hours per year may carry over into subsequent years a 
maximum of 28 30 hours of continuing education credit. Credit 
for extra hours of approved continuing education may not be 
carried forward more than two years, and no credit may be 
applied retroactively. 

(d) Course sponsors must provide a prescribed certificate of 
course completion to each licensee and certificate holder 
satisfactorily completing a course. The licensee or certificate 
holder should submit the original of this certificate to the Board 
as soon as possible after completing the course and must submit 
such certificate not later than the next June 30 following course 



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515 



PROPOSED RULES 



completion. In order to renew a license or certificate in a timeK 
manner, the Board must have received from the licensee or 
certificate holder proper proof of his having fully satisfied the 
continuing education requirement prior to processing his license 
or certificate renewal application. If a licensee or certificate 
holder fails to provide by June 30 of any year proper proof of 
having fully satisfied the continuing education requirement, his 
license or certificate will expire as of that date and he will be 
subject to the provisions of Rules .0203(d) and .0206 of this 
Section. 

(e) A course ma\ be taken only once for continuing education 
credit within a three-year period. 

(f) A current or former licensee or certificate holder may 
request that the Board grant continuing education credit for a 
course taken by the licensee or certificate holder that is not 
approved by the Board, or for appraisal education activity 
equivalent to a Board-approved course, by making such request 
on a form prescribed by the Board and submitting a non- 
refundable fee of fifty dollars ($50.00) for each course or type 
of appraisal education activity to be evaluated. Continuing 
education credit for a non-approved course will be granted only 
if the licensee or certificate holder provides satisfactory proof of 
course completion and the Board finds that the course satisfies 
the requirements for approval of appraisal continuing education 
courses with regard to subject matter, course length, instructor 
qualifications, and student attendance. Appraisal education 
activities for which credit may be awarded include, but are not 
limited to. teaching appraisal courses, authorship of appraisal 
textbooks, and development of instructional materials on 
appraisal subjects. The awarding of credit for such activities is 
wholK discretionary on the part of the Board. Licensed or 
certified appraisers who between JuK I and June 30 of the 
period for which continuing education credit is requested have 
taught an appraisal course or courses approved by the Board for 
continuing education credit will be deemed to have taken an 
equivalent course and will not be subject to the fifty dollars 
(S50.00) fee. provided the> submit verification satisfactory to the 
Board of having taught the course(s). A licensee or certificate 
holder who teaches a Board-approved continuing education 
course may not receive continuing education credit for the same 
course more than once every three >ears. regardless of how often 
he teaches the course. 

(g) A state-licensed or state-certified residential real estate 
appraiser may fully satisfy' the continuing education requirement 
by taking the Applied Residential Property Valuation (R3) pre- 
licensing and precertiflcation course, provided that he has not 
taken such course within the previous three \ears. A state 
certified general real estate appraiser ma\ fulK satisfy the 
continuing education requirement b> taking either the Applied 
Residential Valuation (R-3) pre-licensing and pre-certification 
course or the Applied Income Property Valuation (G-3) pre- 
certification course, provided that he has not taken either of 
these courses within the previous three \ears. 

(h) A licensee or certificate holder may request in writing and 
be granted an extension of time to satisfS the continuing 
education requirements if he provides evidence satisfacton to 
the Board that he was unable to obtain the necessary education 
due to an incapacitating illness, military assignment outside the 



50 states, or similar condition. If an extension of time is granted, 
the licensee or certificate holder will be permitted to renew or 
reinstate, as appropriate, his license or certificate for that period 
of time for which the extension was granted. The granting of 
such request and the length of any extension of time granted are 
wholly discretionary on the part of the Board. 

Authority G.S. 93E-I-''(al(bl: 93E-!-8(aj: 93E-1-10. 

.0205 INACTIVE STATUS 

(a) A trainee, licensee or certificate holder shall be assigned 
by the Board to inactive status upon written request to the Board. 

(b) A trainee, licensee or certificate holder whose registration. 
appraiser license or certificate is on inactive status shall be 
returned to active status upon making a written request to the 
Board. 

(c) A trainee, licensee or certificate holder on inacfive status 
shall not be entitled to act as a state-registered trainee, state- 
licensed or state-certified real estate appraiser; however, in order 
to continue to hold a trainee registration, an appraiser license or 
certificate, the trainee, licensee or certificate holder whose 
registration, license or certificate is on inactive status must 
renew his registration, license or certificate, including payment 
of the prescribed renewal fee and completion of all continuing 
education. 

(d) The Board may take disciplinary action against a trainee. 
licensee or certificate holder on inactive status. 

Authorities. 93E-1-'': 93E-1-10. 

.0206 EXPIRED REGISTRATION, LICENSE OR 
CERTIFICATE 

(a) Expired real estate appraiser trainee registrations, licenses 
and certificates may be reinstated within 12 months after 
expiration upon proper application, payment to the Board of the 
two-hundred dollar (S200.00) renewal fee plus a late filing fee 
of five dollars ($5.00) per month for each month or part thereof 
that such registration, license or certificate is lapsed, and 
provision of proof of having obtained the continuing education 
that would have been required had the license or certificate been 
continuoush' renewed. 

(b) Trainee registrations. Licens e s licenses and certificates 
expired for more that 12 months may be considered for 
reinstatement upon proper application, payment of the one- 
hundred fifty dollar (SI 50.00) original license or certificate fee. 
payment of the sixty dollar ($60.00) late filing fee. and provision 
of proof of having obtained continuing education equal to the 
total number of classroom hours that would have been required 
had the license or certificate been continuously renewed. Such 
applications will be reviews by the Board to determine whether 
an examination or additional real estate appraisal education or 
both will be required. 

Authority- G.S. 93E-l-6lh): 93E-1--: 93E-1-W. 

.0207 PAYMENT OF LICENSE OR CERTIFICATE 
FEES 

Checks given the Board in payment of real estate appraiser 



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September 1, 1998 



13:5 



PROPOSED RULES 



I 



trainee registration, license and certificate fees which are 
returned unpaid shall be cause for registration, license or 
certificate denial, suspension or revocation. 



« 



» 



Authohn- G.S. 93E-1-10: 93 E-1 -12(a)(9). 



LICENSE 



AND 



.0208 REPLACEMENT 

CERTIFICATE FEES 

A trainee, licensee or certificate holder may. filing a 
prescribed form and paying a five dollar ($5.00) fee to the 
Board, obtain a duplicate real estate trainee registration. 
appraiser license or certificate or pocket card to replace an 
original registration, license, certificate or pocket card which has 
been lost, damaged or destroyed or if the name of the trainee. 
licensee or certificate holder has been lawfully changed. The 
Board, at its discretion, may require a trainee, licensee or 
certificate holder requesting a duplicate registration, license or 
certificate to submit an affidavit stating the reason for the 
request. 

Authority- G.S. 93E-!-7(d): 93E-1-10. 

.0210 TEMPORARY PRACTICE 

(a) A real estate appraiser from another state who is licensed 
or certified by the appraiser licensing or certifying agency in 
such state may apply for registration to receive temporary 
appraiser licensing or certification privileges in this State by 
filing with the Board a notarized application on a form 
prescribed by the Board for such purpose which shall set forth 
and include: 

( 1 ) the applicant's name, address, social security number 
and such other information as may be necessary to 
identify' the applicant: 

(2) an original statement by the appraiser licensing or 
certifying agenc\' in the applicant's resident state 
issued under seal no more than thirty days prior to the 
application date setting forth: 

(A) the applicant's name, business name and 
address: 

(B) the type license or certificate held by the 
applicant and the license or certificate number: 

(C) the dates of licensure or certification and the 
expiration date of the applicant's current 
license or certificate: 

(D) whether or not the license or certificate was 
issued as a result of passing a 
license/certification examination. by 
reciprocity, or by some other means: and 

(E) a complete record of any disciplinary actions 
taken or disciplinary proceedings pending 
against the applicant; 

(3) an irrevocable consent that service of process in any 
action against the applicant arising out of the 
applicant's appraisal activities in this State may be 
made by delivery of the process on the Executive 
Director of the Board; 

(4) a statement that the applicant has read and agrees to 
abide by all appraiser laws and rules in this State and 



agrees to cooperate with any investigation initiated by 
the Board including supplying relevant documents and 
personally appearing before the Board or the Board's 
investigators; and 
(5) information sufficient to identify the appraisal 
assignment to be performed under the temporary 
practice permit, including the projected beginning and 
ending dates for performing such appraisal 
assignment, but shall not require the applicant to 
divulge any information concerning the appraisal 
assignment which would breach the applicant's duty 
of confidentiality to his client under the provisions of 
the Uniform Standards of Professional Appraisal 
Practice. 

(b) Upon filing a properly completed application 
accompanied by a fee of fifty dollars ($50.00) and otherwise 
satisfying the Appraisal Board as to his qualifications, eligibility 
and moral fitness for temporary licensing or certification 
privileges, an applicant shall be granted a temporary practice 
permit by the Board authorizing the applicant to perform in this 
State the appraisal assignment described in such application, 
provided that the length of time projected by the applicant for 
completion of the assignment is reasonable given the scope and 
complexity of the assignment. 

(c) Licensing and certification privileges granted under the 
provisions of this Rule shall expire upon the completion of the 
appraisal assignment described in the application for temporary 
licensing or certification privileges or on the expiration date set 
forth in the temporary practice permit, whichever shall come 
first. However, upon a showing by the permittee satisfactory to 
the Appraisal Board that, notwithstanding the permittee's 
diligent attention to the appraisal assignment, additional time is 
needed to complete the assignment, the Board shall extend the 
licensing or certification privileges granted under the permittee's 
temporary practice permit to afford him additional time to 
complete the appraisal assignment. 

(d) Persons granted temporary licensing or certification 
privileges under this Rule shall not advertise or otherwise hold 
themselves out as being a North Carolina state-licensed or state- 
certified appraiser. 

(e) A trainee may apply for a temporary practice permit and 
the provisions of Paragraphs taL(bJ and (cJ of this Rule shall 
apply. The supervising appraiser for the trainee must also 
receive a temporary practice permit. The term "trainee" shall 
include apprentices and others who are licensed and regulated by 
a state agency to perform real estate appraisals under the 
supervision of a licensed or certified appraiser. 

Authority G.S. 93E-l-9(c)(d): 93E-1-10: Title XI, Section 
1122(a)': 12 U.S.C. 3351(a). 

SECTION .0300 - APPRAISER EXAMINATIONS 

.0301 TIME AND PLACE 

Examinations for real estate trainee registrations, appraiser 
licenses and certificates will be scheduled at such times and 
places as determined by the Executive Director and the Board- 
approved private testing service. Applicants will be scheduled 



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September 7. 1998 



517 



BSHmnna 



PROPOSED RULES 



for examination based on their successful completion of 
appraiser qualification requirements stated in G.S. 93E-I-6 and 
filing an application with the Board. Violation of examination 
procedures and instructions shall be grounds for denial, 
suspension or revocation of a license or certificate. 

Authority CJ.S. 93E-I-6(c): 93E-I-I0. 

.0302 SUBJECT MATTER AND PASSING SCORES 

(a) The examination for trainee registration, licensure as a 
state-licensed real estate appraiser and for certification as a state- 
certified residential real estate appraiser shall test applicants on 
the following subject areas: 

( 1 ) Influences on Real Estate Value: 

(2) Legal Considerations in Appraisal; 

(3) Types of Value; 

(4) Economic Principles; 

(5) Real Estate Markets and Analysis; 

(6) Valuation Process; 

(7) Property Description; 

(8) Highest and Best Use Analysis; 

(9) Appraisal Statistical Concepts; 

(10) Sales Comparison approach; 

(11) Site Value; 

(12) Cost Approach; 

(13) Income Approach (Gross Rent Multipliers. Estimation 
of Income and Expenses. Operating Expense ratios); 

(14) Valuation of Partial Interests; and 

( 1 5) Appraisal Standards and Ethics. 

(b) In addition to the subject areas listed in Paragraph (a) of 
this Rule, the examination for certification as a state-certified 
general real estate appraiser shall test applicants on the following 
subject areas: 

( 1 ) Direct Capitalization; 

(2) Cash Flow Estimates; 

(3) measures of Cash Flow; and 

(4) Discounted Cash Flow Analysis. 

(c) Prior to taking the examination, applicants will be 
informed of the score required to pass. Applicants who pass the 
examination will only be notified that they have passed. 
Applicants who have failed will be informed of their actual 
score. 

Authorities. 93E-l-6(c): 93E-1-I0. 

.0303 RE-EXAMINATION 

If an applicant for a real estate trainee registration, license or 
certificate fails to pass or appear for anN examination for which 
he has been scheduled b> the Board-approved private testing 
service, he shall re-apply for examination and shall pa\ the 
prescribed examination testing fees to the Board-approved 
private testing service. 

Authority- G.S. 93E-l-6(b) and (c): 93E-I-10. 

.0304 CHEATING AND RELATED MISCONDUCT 

Applicants shall not cheat or attempt to cheat on an 
examination b\ an\ means, includintz both aivina and receiving 



assistance, and shall not communicate in any manner for any 
purpose with an\ person other than an examination supervisor 
during an examination. Violation of this Rule shall be grounds 
for dismissal from an examination, invalidation of examination 
scores, and denial of a real estate trainee registration, appraiser 
license or certificate, as well as for disciplinar) action if the 
applicant holds a trainee registration, an appraiser license or 
certificate. 

Authority' G.S 93E-l-6(c): 93E-1-10. 

.0305 CONFIDENTIALITY OF EXAMINATIONS 

Registration, licensing Lic e nsing and certification 
examinations are confidential. No applicant, trainee, licensee, 
or certificate holder shall obtain, attempt to obtain, receive or 
communicate to other persons examination questions. Violation 
of this Rule shall be grounds for denial of a real estate trainee 
registration, appraiser license or certificate if the violator is an 
applicant and disciplinarv' action if the violator holds a trainee 
registration, an appraiser license or certificate. 

Authority G.S. 93E-I-6(c): 93E-1-10. 

.0306 EXAMINATION REVIEW 

(a) If the examination is administered by the Board, an Aft 
applicant who fails an examination may review his examination 
in the presence of a Board-designated representative. Applicants 
who review their examinations may not be accompanied by any 
other person at a review session, nor may any other person 
review an examination on behalf of an applicant. Applicants 
who pass an examination may not review their examinations. 

(b) If the examination is administered by the Board, the The 
Board will establish and publish a schedule for examination 
review. An applicant who fails to review his examination at the 
established date and time will be deemed to have waived his 
right to review his examination. 

(^ If the examination js administered by a private testing 
service, the terms of the contract between the Board and the 
testin g service regarding examination review shall apply. 

Authority G.S. 93E-l-6(c/: 93E-1-10. 

SECTION .0400 - GENERAL APPRAISAL PRACTICE 

.0401 USE OF TITLES 

(a) A state-registered trainee shall utilize the term "state- 
registered trainee" when performing an appraisal of real estate 
or any interest therein, and when referring to himself as a 
trainee. 

fa4(b) A state-licensed residential real estate appraiser shall 
utilize the term "state-licensed residential real estate appraiser" 
and a state-certified residential real estate appraiser shall utilize 
the term "state-certified residential real estate appraiser" when 
performing an appraisal of real estate or an>' interest therein, and 
when referring to himself as an appraiser. A state-certified ^ 
general real estate appraiser shall utilize either the term "state W 
certified general real estate appraiser" or "state-certified 
residential/general real estate appraiser" when performing 



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appraisals of all types of real estate or any interest therein, and 
when referring to himself as an appraiser. 

(fe)(cj Trainee registration. Lic e nsur e licensure or certification 
as a real estate appraiser is granted only to persons and does not 
extend to a business entit> operated by a trainee, state-licensed 
or state-certified real estate appraiser. 

Authority G.S. 93E-1-10. 

.0402 DISPLAY OF LICENSES AND CERTIFICATES 

(a) The trainee registration, real estate appraiser license or 
certificate of a trainee, state-licensed or state-certified real estate 
appraiser shall be prominently displayed at the trainee's or 
appraiser's place of business, provided that the license or 
certificate of a managing appraiser and the registration, license 
or certificate of each trainee, licensee or certificate holder 
engaged in real estate appraisal activities at the office of the 
managing appraiser shall be prominently displased at such 
office. 

(b) The annual license or certificate renewal pocket card 
issued by the Board to each trainee, state-licensed or state 
certified real estate appraiser shall be retained by the trainee. 
licensee or certificate holder as evidence of registration. 
licensure or certification. 

Authority G.S. 93E-1-10. 

.0403 ADVERTISING 

(a) When advertising or otherwise holding himself out as a 
trainee or real estate appraiser, a state-registered trainee shall 
identify' himself as a "state-registered trainee", a state-licensed 
residential real estate appraiser shall identify- himself as a "state- 
licensed residential real estate appraiser", a state-certified 
residential real estate appraiser shall identify himself as a "state- 
certified residential real estate appraiser", and a state-certified 
general real estate appraiser shall identify himself as either a 
"state-certified general real estate appraiser" or a "state-certified 
residential/general real estate appraiser". 

(b) A registered trainee, state-licensed or state-certified real 
estate appraiser doing business as a partnership, association, 
corporation or other business entity shall not represent in any 
manner to the public that the partnership, association, 
corporation or other business entity is erther registered, licensed 
or certified by the State of North Carolina to engage in the 
business of real estate appraising. 

(c) In the event that any trainee, licensee or certificate holder 
shall advertise in any manner using a firm name, corporate name, 
or an assumed name which does not set forth the surname of the 
trainee, licensee or certificate holder, he shall first notify the 
Board in writing of such name and furnish the Board with a copy 
of each registration of assumed name certificate filed with the 
office of the county register of deeds in compliance with G.S. 
Section 66-68. 

Authority G.S. 93E-1-10. 

.0404 CHANGE OF NAME OR ADDRESS 

All trainees, licensees and certificate holders shall notify the 



Board in writing of each change of business address, residence 
address, or trade name within 10 days of said change. The 
address shall be sufficiently descriptive to enable the Board to 
correspond with and locate the trainee, licensee or certificate 
holder. 

Authority G.S. 93E-1-10. 

.0405 APPRAISAL REPORTS 

(a) Each written appraisal report prepared by or under the 
direction of a state-licensed or state-certified real estate appraiser 
shall bear the signature of the state-licensed or state-certified 
appraiser, the license or certificate number of the licensee or 
certificate holder in whose name the appraisal report is issued, 
and the designation "state-certified residential real estate 
appraiser", or the designation "state-certified general real estate 
appraiser", or "state-certified residential/general real estate 
appraiser", as applicable. Each such appraisal report shall also 
indicate whether or not the state-licensed or state-certified 
appraiser has personally inspected the property, and shall 
identify any other person who assists in the appraisal process 
other than by providing clerical assistance. 

(b) Every state-licensed and state-certified real estate 
appraiser shall affix or stamp to all appraisal reports a seal of a 
design authorized by the Board which shall set forth the name 
and license or certificate number of the appraiser in whose name 
the appraisal report is issued and shall identify the appraiser as 
a "state licensed residential real estate appraiser", a "state- 
certified residential real estate appraiser", or as a "state certified 
general real estate appraiser" or "state-certified 
residential/general real estate appraiser", as applicable. 

(c) A state-licensed or state-certified real estate appraiser who 
signs an appraisal report prepared by another person, including 
a trainee or a subcontractor, acting under the direction or 
supervision of the appraiser shall be fully responsible for the 
content of the report. 

(d) A written appraisal report shall be issued on all real estate 
appraisals performed in connection with federally related 
transactions. 

Authority G.S. 93E-1-10. 

.0406 MANAGING APPRAISER 

(a) A "managing appraiser" shall be designated with the 
Board for each appraisal firm and each combined real estate 
brokerage and appraisal firm for which real estate appraisals are 
performed by: 

( 1 ) two or more state-licensed or state-certified real estate 
appraisers who are employed by or associated with the 
firm; or 

(2) unlic e ns e d or unc e rtified assistants, other than clerical 
e mploy ees trainees, who are employed by or 
associated with the firm and who assist a state- 
licensed or state-certified real estate appraiser in the 
performance of real estate appraisals. 

If one or more state-certified general real estate appraisers is 
employed b\' or associated w ith the firm, the managing appraiser 
must be a state-certified general real estate appraiser. If one or 



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more state-certified residential real estate appraisers is emplo>ed 
b\ or associated \s ith the t1rm. the managing appraiser must be 
a state-certified residential or general real estate appraiser. If 
onl\ state-licensed residential real estate appraisers are emplo\ed 
b\ or associated u ith the firm, the managing appraiser ma\ be a 
state-licensed residential real estate appraiser. 

(b) The designated managing appraiser shall be responsible 
for; 

( 1 ) the proper display of licenses and certificates of all 
trainees, state-licensed and state-certified real estate 
appraisers employed by or associated \s ith the firm, 
and ascertaining whether each trainee, licensee or 
certificate holder employed by or associated with the 
tlrm has complied with Rule .0203 of this Subchapter: 

(2) the proper notification to the Board of any change of 
business address or trade name of the firm and the 
registration of an\ assumed business name adopted by 
the firm for its use; 

( 3 ) the proper conduct of advertising of appraisal ser\ices 
b\ or in the name of the tlrm; 

(4) the proper retention and maintenance of records 
relating to appraisals conducted b\ or on behalf of the 
firm; 

(5) the maintenance of a record for each of the firm's 
unlicensed and unc e rtifi e d assistants trainees that 
generall) describes the nature and extent of assistance 
rendered in connection \\ ith each appraisal; and 

(6) the maintenance of a record for each of the firm"s 
state-licensed and state-certified residential real estate 
appraisers that generalK describes the nature and 
extent of assistance rendered b\ the state-licensed 
residential real estate appraiser when assisting a state- 
certified residential or general real estate appraiser 
and an\' assistance rendered by the state-certified 
residential real estate appraiser when assisting a state- 
certified general real estate appraiser in performing an 
appraisal. 

No license or certificate holder shall be managing appraiser of 
more than one appraisal firm or combined real estate brokerage 
and appraisal firm. 

(c) Each managing appraiser shall notif\ the Board in writing 
of an\ change in his status as managing appraiser within 10 daNS 
followinu the chanee. 



(3) complies with all provisions of Rule .0405 of this 
Section regarding appraisal reports; and 

(4) prepares and furnishes to the managing appraiser, if 
applicable, and to each trainee, unlic e ns e d and 
unc e rtifi e d a s sistant whose services were utilized in 
connection with the appraisal, a report on a form 
prescribed by the Board describing the nature and 
extent of assistance rendered by the trainee unlic e ns e d 
and unc e rtifi e d assistant in connection with the 
appraisal, and places a copy of such report in the 
supporting file for the appraisal. 

Authority G.S. 93E-!-3/b): 93E-1-10. 

SECTION .0500 - STANDARDS OF APPRAISAL 
PRACTICE 

.0501 APPRAISAL STANDARDS 

(a) Every state-registered trainee, state-licensed and state- 
certified real estate appraiser shall, in performing the acts and 
services of a state-registered trainee, state-licensed or state- 
certitled real estate appraiser, comply with those appraisal 
practice standards known as the "Uniform Standards of 
Professional Appraisal Practice" promulgated by the Appraisal 
Standards Board of the Appraisal Foundation, which standards, 
including subsequent amendments and editions of those 
standards which ma\' from time to time be approved, are hereb}.' 
adopted b) reference in accordance with G.S. 150B-21.6. For 
the purpose of this Rule, the "Uniform Standards of Professional 
Appraisal Practice" are the preamble. Ethics Provision. 
CompetencN Provision. Departure Provision. Jurisdictional 
Exception. Definitions. Supplemental Standards. Statements on 
Appraisal Standards, and Standards 1. 2. and 3. 

(b) A copy of the portions of the "Uniform Standards of 
Professional Appraisal Practice" specified in Paragraph (a) of 
this Rule is included in the Board's Licensing and Certification 
booklet available free of charge. 

Authont\- G.S. 93E-1-10. 



Authorities. 93E-l-3(h): 93E-I-10. 

.0407 SUPERVISION OF TRAINEES 

A state-licensed or state-certified real estate appraiser may 
emploN a state-registered trainee p e rson or p e rsons not lic e ns e d 
or c e rtifi e d as a r e al estate apprais e r to assist in the performance 
of real estate appraisals, provided that the state licensed or state- 
certified real estate appraiser: 

activeh and personally supervises the trainee 

unlic e n se d and unc e rtifi e d assistant: 

re\ lews all appraisal reports and supporting data used 

in connection with appraisals in which the services of 

a trainee an unl i c e n se d and unc e rtifi e d assistant is 

utilized: 



(1) 
(2) 



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The Codifier of Rules has entered the following temporaiy rule(s) in the North Carolina Administrative Code. Pursuant to G.S. 
150B-2I. 1(e). publication of a temporaiy rule in the North Carolina Register sen'es as a notice of rule-making proceedings 
unless this notice has been previously published by the agency. 



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TITLE 1 - DEPARTMENT OF 
ADMINISTRATION 

Rule-making Agency: Department of Administration 

Rule Citation: / NCAC 40.0101 - .0103; .0201 - .0204 

Effective Date: August 4, 1998 

Findings Reviewed by Beecher R. Gray: Approved 

Authority for the rule-making: G.S. 115C-566 

Reason for Proposed Action: Pursuant to S.L 1997-507, the 
General Assembly has required the Division of NonPublic 
Education to assist in drafting rules to implement the new 
statute requiring driving eligibility certificates for all students 
seeking learners permits and drivers licenses. The statute 
requires the Secretary to adopt rules to implement the provisions 
for nonpublic and home schools, under the regulation of the 
Division of Nonpublic Education. This division was transferred 
to the Department of .Administration by the Governor as of July 
1, 1998. The effective date of the statute is August 1, 1998, as 
rules need to be in place prior to the fall semester 

Comment Procedures: All persons wishing to comment on 
these proposed rules may do so by sending their written 
comments to R. Glen Peterson. General Counsel. Department of 
.Administration, 116 West Jones Street, Raleigh. NC 27603- 
8003. 

CHAPTER 40 - NONPUBLIC EDUCATION 

SECTION .0100 - GENERAL PROVISIONS 

.0101 PURPOSE 

The Division of Nonpublic Education is the agencv of State 
government responsible for administering the provisions of 
Article 39 of G.S. 115C and is the "duly authorized 
representative of the State" for such purposes, as defined in G.S. 
115C-563(b). 

History Note: A uthority G.S 11 5C-563; 1 1 5C-566: 
Temporary Adoption Eff. August 4, 1998. 

.0102 ORGANIZATION 

The Division of Nonpublic Education is located jn the 
Department of Administration pursuant to the assignment of said 
division from the Office of the Governor, as designated by order 
of the Governor dated May 20. 1998. and effective July I. 1998. 



HistoiyNote: Authority G.S 115C-563: 115C-566: 143B-12; 
Temporary Adoption Eff .4ugust 4, 1998. 

.0103 DEFINITIONS 

The following definitions shall apply throughout this Chapter: 

(1) "Conventional nonpublic school" means a school 
operating under either Part 1 or Part 2 of Article 39. 
G.S. 115C. 

(2) "Division" means the Division of Nonpublic 
Education, except where otherwise identified. 

(3) "Home school" means a nonpublic school operating 
underPart 3of Article 39. G.S. I15C. 

History Note: Authority G.S. 115C-547 through 115C-566; 
Temporary Adoption Eff. August 4, 1998. 

SECTION .0200 - DRIVING ELIGIBILITY 
CERTIFICATES 

.0201 DEFINITIONS 

For the purposes of G.S. 20-11. G.S. 20-l3.2(cl') and G.S. 
1 15C-566. the following definitions shall apply: 

(1) "High school diploma or its equivalent" means and 
includes the General Equivalency Diploma and the 
adult high school diploma. 

(2) "Making progress toward obtaining a high school 
diploma or its equivalent" means that the student must 
meet standards established by the administrator, or the 
administrator's designee, in the case of a conventional 
nonpublic school or by the person who provides the 
academic instruction in the case of a home school. 

(3) "Substantial hardship" means a demonstrable burden 
on the student or the student's family as evidenced by 
circumstances such as the following: 

(a) The parent/guardian is unable to drive due to 
illness or other impairment and the student is 
the only person of driving age jn the 
household. 

(b) The student requires transportation to and from 
a job that is necessary to the welfare of the 
student's family and the student is unable to 
obtain transportation by any means other than 
driving. 

(c) The student has been unable to attend a 
conventional nonpublic school due to 
documented medical reasons, but the student is 
demonstrating the ability to maintain progress 
toward obtaining a high school diploma or its 
equivalent. 

(4) A "student who cannot make progress toward 
obtaining a high school diploma or its equivalent" 
shall mean a student who has been identified by the 



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TEMPOR.4R Y R ULES 



administrator, or the administrator's designee, in the process. 
case of a conventional nonpublic school or bv the 
person who provides the academic instruction m the 
case of a home school, as not having the capacit\ to 
meet the requirements for a high school diploma or its 
equivalent due to a disability. 



History Note: Authority G.S. 115C-566: 
Temporaiy Adoption Ejf. August 4, 1998. 

.0202 ISSUANCE OF DRIVING ELIGIBILITY 
CERTIFICATES 

(a) Each conventional nonpublic school and home school 
shall be responsible for the issuance of driving eligibility 
certificates on forms supplied b\ the Division. 

(b) Before an\- conventional nonpublic school or home school 
can issue a driving eligibility certificate, that school must have 
on Hie with the Division a currently valid Notice of Intent to 
Operate and must be in compliance with all laws and regulations 
applicable to conventional nonpublic schools or home schools 
which enroll students subject to compulsory attendance laws. 
Once the school is in compliance with such laws and regulations 
as apply to it. the appropriate forms may be requested from, and 
supplied by. the Division. 

£c} Notwithstanding i NCAC 40 .0202(b). aH nonpublic 
schools enrolling only students y\ho are age 16 or 1? may not 
request driving eligibility certificate forms from the Division 
until after the school's currently valid Notice of Intent to 
Operate has been on file with the Division for at least six 
calendar months. This provision shall not apply jn the case of 
any student that js newlv resident in the State of North Carolina 
within the 30 days immediately preceding his request for a 
driving eligibility certificate from a school affected by this 
provision. 

(d) A nonpublic school student under the age of 18 who 
wishes to obtain a limited learner's permit, a limited prov isional 
license or a full provisional license under G.S. 20-1 1 must first 
request and obtain a driving eligibility certificate signed by the 
administrator, or the administrator's designee, in the case of a 
conventional nonpublic school or the person who provides the 
academic instruction in the case of a home school. 

(e) Before a nonpublic school student is eligible to receive a 
driying eligibility certificate, the student must be properly 
enrolled in a nonpublic school yvhich js meeting all the 
appropriate requirements of Article 39 of G.S. 1 I5C at the time 
the certificate is issued and meet one of the following 
requirements: 

( 1) The student is making progress toward obtaining a 
high school diploma or its equivalent. 

£2} The student yvill have a substantial hardship placed on 
the student or the student's family if the certificate is 



not issued. 



ill 



The student is a student who cannot make progress 

toward obtaining a high school diploma or its 

equivalent. 

(f) If a student is denied a certificate, the chief administrator 

of the nonpublic school shall inform the student of the school's 

decision and the availability and details of thie school's appeals 



Histoiy Note: Authority G.S. 1I5C-566: 
Temporaiy .Adoption Eff. .August 4. 1998. 

.0203 REVOCATION OF DRIVING ELIGIBILITY 
CERTIFICATES 

(a) Each nonpublic school shall revoke a driving eligibility 
certificate held by one of its students, no matter whether it was 
issued by that school or not: 

( 1 ) when the student fails to meet the requirements for the 
certificate set out in 1 NCAC 40 .0202: or 

(2) when the student is no longer enrolled in the school 
and does not possess a high school diploma or its 
equivalent upon the student's removal from the 
schools's rolls, if the student will not be enrolled in 
another school (public, conventional nonpublic, home 
school or community college). 

(b) Upon revocation of a certificate, the chief administrator 
of the school shall send written notification of the revocation to 
the Division within five calendar davs of the revocation, unless 
the student protests the decision. If the Appeals Committee 
upholds the school's decision to revoke the certificate, the 
notification to the Division will be made within five days from 
the school's receipt of tfie committee's decision. 

(c) The notification to the Division shall include: 
Tlie student's legal name (first, middle and last name 
as on the student's birth certificate): 



in 
tu 

(5] 
ID 

19] 
(10) 



The student's social security number: 

The student's residence address (including street, citv 

and zip code): 

The student's date of birth: 



The student's gender: 
The student's race: 



The student's learner's permit or driver's license 

number: 

The name of the parent guardian with whom the 

student is living: 

A statement of the reasons for the revocation of the 

certificate: 

The date of the student's ineligibility or removal from 

the school's rolls: 

The type of nonpublic school, whether conventional 

or home school: 

The name of the nonpublic school: 

The county in v\hich the nonpublic school is located: 

The name of' tfie chief administrator of the nonpublic 

school, 
(d) Within five calendar davs of the Division's receipt of the 
written notification of revocation from the nonpublic school, the 
Director of the Division or the Director's designee, shall inform 
the North Carolina Division of Motor Vehicles of the 
revocation. 



iAl 
(14) 



(e) If a student's certificate is revoked, the chief administrator 
of the nonpublic school shall inform the student of the school's 
decision and the availability and details of the school's appeals 
process. 



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Hisloiy Note: Authority G.S. 115C-566: 
Tetnporaiy Adoption Eff. August 4. 1998. 

.0204 STUDENT APPEALS PROCESS 

(a) Each conventional nonpublic school that enrolls students 
that are at least 15 years of age shall establish a Driving 
Eligibility Certificate Appeals Committee to receive and act 
upon student protests that a driving eligibility certificate was 
improperly denied or revoked. All student protests shall be made 
within five days of the school's decision and directed to the 
chief administrator of the conventional nonpublic school. The 
Appeals Committee shall: 

(1) Be appointed by and serve at the pleasure of the 
administrator of the conventional nonpublic school, or 
the administrator's designee; and 

(2) Consist of at least three members, each of which shall 
be a member of the school's governing board, 
administration or staff, or a parent/guardian with a 
child currently enrolled in the school. 

(b) The Division shall establish a Home Schools Driving 
Eligibility Certificate Appeals Committee exclusively to receive 
and act upon student protests that a driving eligibility certificate 
was improperly denied or revoked by a home school. All home 
school student protests shall be made within five days of the 
school's decision and directed to the Director of the Division or 
the Director's designee, at Division of Nonpublic Education. 
Department of Administration. 530 North Wilmington Street. 
Raleigh. North Carolina 27604-1198. The Home Schools 
Driving Eligibility Certificate Appeals Committee shall: 

(1) Be appointed by. and serve on a voluntary basis at the 
pleasure of. the Director of the Division or the 
Director's designee; and 

(2) Consist of at least three members, each being the 
administrator of a home school currently operating 
under Part 3^ Article 39. G.S. 1 ISC. The members 
shall not receive per diem or any other type of 
compensation for their service. The Director, or the 
Director's designee, shall appoint a chairperson from 
the committee's membership. The chairperson shall 
then direct the decision-making work of the 
committee. 

(c) All Driving Eligibility Certificate Appeals Committees 
shall: 

(1) consider the written protest of the student as to why 
the driving eligibility certificate was improperly 
denied or revoked; 

(2) decide the protest based on whether the requirements 
for the certificate were met or whether the certificate 
was properly revoked; 

(3) render its decision within 30 calendar days of receipt 
of the written protest from the student, and promptly 
notify the student and the chief administrator of the 
school of the decision. 

(d) The decision of the appropriate appeals committee shall 
be final. 

Histon- Note: Authority G.S. 115C-566: 
Temporar}' Adoption Eff. August 4. 1998. 



TITLE 16 - DEPARTMENT OF PUBLIC 
EDUCATION 

Rule-making Agency: State Board of Education 

Rule Citation: 16 NCAC 6E .0301 

Effective Date: August 15. 1998 

Findings Reviewed by Beecher R. Gray: Approved 

Authority for the rule-making: G.S. 20-88.1: 115C-12(28) 

Reason for Proposed Action: The General Assembly directed 
the State Board to work with two other agencies to develop 
coordinated rules for the implementation for the driving 
eligibility program established by SL 1998-507. 

Comment Procedures: Questions or written comments 
regarding this matter may be directed to Hariy E. Wilson, Rule- 
making Coordinator, 2086 Education Building, 301 N. 
Wilmington St., Raleigh, NC 27601-2825: (919) 715-1310. 

CHAPTER 6 - ELEMENTARY AND 
SECONDARY EDUCATION 

SUBCHAPTER 6E - STUDENTS 

SECTION .0300 - DRIVER TRAINING 

.0301 DRIVER TRAINING 

(a) In discharging their duty to provide a course of training 
and instruction in the operation of motor vehicles as set forth in 
G.S. 1I5C-216, local boards of education shall provide a 
program which meets the following standards and requirements: 

( 1 ) Principals shall enroll students who meet the criteria 
established by G.S. 20-88. l(a)(i), (ii), (iii) and (iv); 

(2) The program will be free of charge to eligible 
students: 

(3) Enrollees must obtain either a temporary learner's 
permit or a restricted instruction permit before they 
begin behind-the-wheel instruction; 

(4) Classroom instruction will consist of at least 30 clock 
hours of instruction in the topics previously listed in 
the Healthful Living Section of the Teacher 
Handbook. Beginning in school year 1992-93. 
students may take and pass a proficiency examination 
developed or designated by the Department of Public 
Instruction to waive the classroom instruction. Each 
student must complete a minimum of six hours of 
behind-the-wheel instruction; 

(5) The program will be reasonably available on a 
year-round basis to all eligible persons; 

(6) The local board of education will determine class size 
restrictions, but may not allow instruction in the car to 
less than two nor more than four students; 



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September I, 1998 



523 



BOSS, 



TEMPOR.4RY RULES 



(7) The local board of education v\ill determine the 
amount of instruction per da\ for classroom or in-car 
instruction or a combination of both; 

(8) The local board of education will issue a certificate to 
students who satisfactoriK complete the prescribed 
course; 

(9) Driver education instructors must possess a valid 
North Carolina driver's license and must have a 
driving record acceptable to the local board of 
education. In addition, instructors hired for driver 
education shall either: 

(A) hold a driver education certificate issued b\ the 
SBE; or 

(B) have non-certified status according to 
minimum standards established by Rule .0302 
of this Section. 

(10) Except as previousK allowed h\ the SBE. the 
program shall not be provided during the regular 
instructional da). 

(b) Two or more local boards of education ma\ jointK 
operate a program under a written agreement meeting the 
requirements of G.S. 160A-464. The agreement shall provide 
for one local board of education to assume administrative 
responsibility for the program. 

tc] For purposes of G^.S. 20-1 1. G.S. 20-13.2(cn. and G.S. 
1 15C- 12(28). the following definitions shall appK: 

( 1 ) "High school diploma or its equivalent" means and 
includes the General Equivalency Diploma (G.E.D.) 
and the adult high school diploma. 

(2) "Making progress toward obtaining a high school 
diploma" means that the student must pass at least 
70° of the maximum of possible courses each 
semester and meet promotion standards established b\ 
the LEA. 

(3) "Substantial hardship" means a demonstrable burden 
on the student or the student's famih as evidenced b\ 
circumstances such as the following: 

(A) The parent is unable to dri\e due to sickness or 
other impairment and the student js the onl\ 
person of driving age in the household. 

(B) The student requires transportation to and from 
a job that js necessary to the welfare of the 
student's famiK and the student is unable to 
obtain transportation by an\ means other than 
driving. 

(C) The student has been unable to attend school 
due to documented medical reasons, but the 
student is demonstrating the abilits to maintain 
progress tovsard obtaining a high school 
diploma. 

(4) A "student who cannot make progress toward 
obtaining a high school diploma or its equivalent" 
shall mean a student who has been identified by the 
principal or principal's designee, together with the 
lEP committee or the school's student assistance 
team, as not having the capacity to meet the 
requirements for a high school diploma or its 
equivalent due to a disability. 



(d) Each LEA shall determine the process bv which decisions 
concernin g the issuance ot'a driving eligibilin shall be appealed. 

(e) The principal of a high school or the principal's designee 
shall notifi, the Division of Motor Vehicles whenever a student 
is no longer making progress toward obtaining a high school 
diploma or jts equivalent or when the student has dropped out of 
school. 

(f) Each charter school, non-public school accredited bv the 
SBE. and community college shall designate an official who 
shall notil\ the Division of Motor Vehicles whenever a student 
is no longer making progress toward obtaining a high school 
diploma. 

History Note: Filed as a Temporary Adoption Eff. August 12. 

1 99 1 for a period of 1 80 da}'s to expire on February 7, ]992: 

A uthority G. S. 20-88. 1:11 5C-2 16: 

ARRC Objection Lodged .August 22. 1991: 

Eff. March 1. 1992: 

Temporaiy Amendment Eff. .August 15. 1998. 



TITLE 23 - DEPARTMENT OF 
COMMUNITY COLLEGES 

Rule-making Agency: North Carolina State Board of 
Community Colleges 

Rule Citation: 23 NC.4C 2C .0307 

Effective Date: .August 21. 1998 

Findings Reviewed by Julian Mann: .Approved 

-Authority for the rule-making: G.S. 115D-5la3) 

Reason for Proposed .Action: Pursuant to the 199~ S.L. c 50~. 
§ 4. the General .Assembly has required the State Board of 
Community Colleges to issue rules regulating the issuance of 
drivers eligibility certificates to persons enrolled in community- 
colleges. § 6 of this chapter requires the State Board of 
Community Colleges to develop this Rule in coordination v.ith 
the State Board of Education and the Office of Son-Public 
Education in the Governor's Office. 

This Rule needs to be in effect by fall semester to accommodate 
high school dropouts between the ages of 16 and 18 who choose 
to attend community colleges to maintain their drivers' licenses 
or to become eligible for drivers ' eligibility certificates. 

Comment Procedures: .All persons interested in this Rule may 
submit statements in writing from the date of this notice until 
October 1. 1998. delivered or mailed to Mr Morris W. Johnson. 
North Carolina Cotnmunity College System. 200 IV. Jones 
Street. Raleigh. \C 2^603-1 3 '9. 

CHAPTER 2 -COMMUNITY COLLEGES A 

SUBCHAPTER 2C - COLLEGES: 



524 



\ORTH CAROLINA REGISTER 



September 1, 1998 



13:5 



TEMPORAR Y R ULES 



9 



ORGANIZATION AND OPERATIONS 

.0307 DRIVERS' ELIGIBILITY CERTIFICATE 

(a) Local Boards of Trustees shall be responsible for the 
issuance of driving eligibility certificates, the timely reporting of 
dropouts and students unable to make adequate progress toward 
graduation, and the provision of grievance procedures associated 
with the issuance of driving eligibility certificates. Local Boards 
of Trustees shall provide a program which meets the following 
requirements: 

(1) The president or the president's designee shall issue 
a driving eligibility certificate if it is determined that: 
(A) The student seeking the certificate is currently 
enrolled m a basic skills program and is 
making progress toward obtaining a high 
school diploma or its equivalent. "Making 
progress toward obtaining a high school 



♦ 



(Bj 



» 



diploma" for a person enrolled in a community 

college basic skills program is defined as: 

(ij Attending a basic skills class a minimum 

of 60 hours per month for a period of 

six consecutive months: and 

(I) Demonstrating progress in GED 

at the end of each six month 

period by passing a minimum of 

two GED tests with a score of 40 

or higher. 

(11) Demonstrating progress in Adult 

High School at the end of each 

six month period by passing a 

minimum of two Adult High 

School units. 

(Ill) Demonstrating progress in Adult 

Basic Education or English as a 

Second Language at thie end of 

each six month period by one of 

the following: increase scores on 

each subsequent standardized test 

or make progress as documented 

by teacher assessment. 

(ii) If a student does not meet the criteria for 

making progress and attendance during 

any month, the president or the 

president's designee shall notify the 

Division of Motor Vehicles the 

following month that the student no 

longer meets the requirements for the 

driving eligibility certificate. 

A substantial hardship would be placed on the 

person seeking the certificate or the person's 

family if tjie person does not receive the 

certificate. Examples of a substantial hardship 

include: 

tij A parent's inabilits to drive due to 

sickness or other impairment and the 

student is the only person of driving age 

in the household. 

(ii) The student requires transportation to 



and from a job that is necessary to the 

welfare of his family and is unable by 

any other means to do so. 

(C) The person seeking the certificate cannot make 

progress toward obtaining a high school 

diploma or its equivalent. The president or the 

president's designee shall determine, along 

with input from other basic skills staff, if a 

student is unable to make progress toward 

obtaining a high school diploma or its 

equivalent. 

(b) Any person denied a driving eligibility certificate may 
appeal that decision through the colleges' student grievance 
procedure. 

(c) The president or the president's designee shall notify the 
Division of Motor Vehicles when a student is no longer making 
progress as determined in this Rule or when a student officially 
drops out of school. The president's designee shall be the Basic 
Skills Director. 

History Note: Authority S.L 1997. c. 507. s. 4 and 6: 
Temporary Adoption Eff. August 21. 1998. 



13:5 



NORTH CAROLINA REGISTER 



September 1, 1998 



525 



RILES RE\ lEW COMMISSION 



1 his Section contains the ui^enJa for the next meeting of tlie Rules Review Commission on Thursdax. September I'. 1998. 
lO.OU a.m. . at I3(J~ Glemvood Ave.. .Assembly Room. Raleigh. .\'C. .Anyone wishing to submit written comment on any rule 



before the Commission should submit those comments to the RRC staff, the agency, and the individual Commissioners by 
Monday. September 14. 199H. ql 5:00 p.m. Specific instructions and addresses may he obtained from the Rules Review 
Commission at 9l9-~33-2~21. .Anyone Mishing to address the Commission should notif- :he RRC staff and the agency at least 
24 hours prior to the meeting. 



RULES REVIEW COMMISSION MEMBERS 



Appointed by Senate 

Teresa L. Smallwood. Vice Chairman 

Jim Funderburke 

Vemice B. Howard 

Philip O. Redwine 

Da\ id T\\ idd\ 



Appointed by House 

Paul Powell. Chairman 

Anita WTiite. 2"^ Vice Chairman 

Mark Garside 

Steve Rader 

Georae Robinson 



RULES REVIEW COMMISSION MEETING DATES 



September 17. 1998 
October 15. 1998 



November 19. 
December 1 7. 



1998 
998 



MEETING DATE: SEPTEMBER 17, 1998 

LOG OF FILINGS 

RULES SUBMITTED: JULY 20, 1998 THROUGH AUGUST 20, 1998 



AGENCY/DIVISION 



RULE NAME 



RULE CITATION 



ACTION 



DHHS/MEDICAL CARE COMMISSION 

Reporting and In\ estigating 

JUSTICE/NC ALARM SYSTEMS LICENSING BOARD 

Statement of Purpose 

Definitions 

Required CLE Hours 

Accreditation Standards 

Non-Resident Licensee 

Recording and Reporting CLE Credits 

Non-Compliance 

CRIME CONTROL & PUBLIC SAFETY, DEPARTMENT OF 

Time Limitation 



10NCAC3H.2210 



Amend 



12NCAC 11 


.0501 


Adopt 


12NCAC 11 


.0502 


.Adopt 


12NCAC 11 


,0503 


Adopt 


12NCAC 11 


.0504 


Adopt 


12NCAC 11 


.0505 


Adopt 


12NCAC 11 


.0506 


Adopt 


12NCAC 11 


.0507 


.Adopt 


14NCAC7. 


3313 


Amenc 



DENR/ENVIRONMENTAL MANAGEMENT COMMISSION 

Permit Requirements 

DENR/COASTAL RESOURCES COMMISSION 

Specific Use Standards 
Specific conditions 

DENRAVILDLIFE RESOURCES COMMISSION 

Rabbits 



15NCAC2H.0610 Repeal 



15NCAC 7H .0308 .Amend 

15NCAC7H .1705 Amend 



1 5 NC AC 1 OB .0207 Amend 



526 



NORTH CAROLINA REGISTER 



September L 1998 



13:5 



RULES REVIEW COMMISSION 



f 



DENR/COMMISSION FOR HEALTH SERVICES 






Standards for Owners 


15NCAC 13A .OlOQ 


Amend 


Interim Status Standards 


15NCAC 13A .0110 


Amend 


Standards for Management 


15NCAC 13A.0111 


Amend 


Disposition of Fetal Remains 


15NCAC 138.1301 


Amend 


Alternate Landfill Liner 


15NCAC 138.1624 


Amend 


TRANSPORTATION, DEPARTMENT OF/DIVISION OF HIGHWAYS 






General Regulations for Drawbridges 


19NCAC2D.0415 


Amend 


Disqualification of Bidders 


19NCAC2D.0816 


Amend 


STATE BOARDS/ATHLETIC TRAINER EXAMINERS, BOARD OF 






Application for Licensure 


21NCAC3.0101 


Adopt 


Good Moral Character 


21 NCAC3 .0102 


Adopt 


Athletic Trainers not Certified 


21NCAC3.0103 


Adopt 


Fees 


2 INC AC 3. 0201 


Adopt 


Renewal Request Form 


21NCAC3.0301 


Adopt 


Continuing Education 


21 NCAC3.0302 


Adopt 


Lapsed License 


21NCAC3.0303 


Adopt 


Board Approval of Courses 


21NCAC3.0304 


Adopt 


Disciplinary Actions 


21 NCAC3 .0401 


Adopt 


Minimum Requirements 


21NCAC3.0501 


Adopt 


STATE BOARDS/COSMETIC ART EXAMINERS, STATE BOARD OF 






Report of Enrollment 


21 NCAC 141 .0107 


Amend 


General Exam Instructions 


21NCAC 14N.0103 


Amend 



» 



RULES REVIEW COMMISSION 

August 20, 1998 
MINUTES 



The Rules Review Commission met on August 20. 1998. in the Assembly Room of the Methodist Building. 1307 Glenwood Avenue. 
Raleigh, North Carolina. Commissioners in attendance were Vice Chairman Teresa L. Smallwood, Stephen P. Rader. George S. 
Robinson. David R. Twiddy. Anita A. White, and Mark P. Garside. 

Staff members present were: Joseph J. DeLuca. Staff Director; Bobby Bryan. Rules Review Specialist: and Sandy Webster. 

The following people attended: 



Valerie Chaffin 
Charlotte Hall 
Harr% Wilson 
Charles Jones 
Kim Murphy 
EmiK Lee 
Dedra Alston 
Ed Norman 



Hunton & Williams 

DHHS/MH/DD/SAS 

State Board of Education 

DENR/DCM 

DENR/DCM 

Transportation 

DENR 

DENR 



APPROVAL OF MINUTES 



I 



The meeting was called to order at 10:15 a.m. with Vice Chairman Smallwood presiding. She asked for any discussion, comments, 
or corrections concerning the minutes of the July 23, 1998 meeting. There being none, the minutes were approved. 



13:5 



NORTH CAROLINA REGISTER 



September 1, 1998 



527 



RULES REVIEU COMMISSION 



FOLLOW-UP MATTERS 

1 5 A NCAC 1 8A .3 1 1 . .3 1 02. .3 1 05. .3 1 08. and .3 1 09 - DENR, Commission for Health Services; The rewritten rules submitted by 
the agencN were approved b> the Commission, 

LOG OF FILINGS 

Vice Chairman SmalJwood presided over the review of the log and all rules were unanimousK approved with the following 
exceptions: 

16 NCAC 6G .0501 - State Board of Education; Commissioner Twidd\ voted not to approve this rule. Vice Chairman Smallwood 
voted to approve. 

COMMISSION PROCEDURES AND OTHER MATTERS 

Mr DeLuca requested that the October meeting be changed from October 1 5 to October 22. The Commissioners agreed. The next 
meeting will be on September 17, 1998. 

The meeting adjourned at 10;50 a.m. 

Respectfully submitted. 
Sandv Webster 



528 yORTH CAROLINA REGISTER September 1, 1998 13:5 



CONTESTED CASE DECISIONS 



1 his Section contains the full text of some of the more significant Administrative Law Judge decisions along with an index 
to all recent contested cases decisions which are filed under North Carolina's Administrative Procedure Act. Copies of the 
decisions listed in the index and not published are available upon request for a minimal charge by contacting the Office of 
Administrative Hearings. (919) 733-2698. 



OFFICE OF ADMINISTRATIVE HEARINGS 

Chief Administrative Law Judge 

JULIAN MANN, III 

Senior Administrative Law Judge 
FRED G. MORRISON JR. 

ADMINISTRATIVE LAW JUDGES 



Brenda B. Becton 
Sammie Chess Jr. 
Beecher R. Gray 
Melissa Owens 



Meg Scott Phipps 

Robert Roosevelt Reilly Jr. 

Dolores O. Smith 



I 



AGENCY 

.\LCOHOLIC BEVER.4GE CONTROL COMMISSION 

Alcoholic Beverage Control Commission \ Kenneth Jerome 
Alcoholic Beserage Control Commission v Jesse Jacob Joyner, Jr 
Alcoholic Beverage Control Commission v Axis Entertainment 
Sokha Huor Ramadneh v Alcoholic Beverage Control Commission 
Alcoholic Beverage Control Commission \ Delores Williams AInaqib 
Alcoholic Beverage Control Commission v Axis Entertainment 
Alcoholic Beverage Control Commission v Bridgette Dee Williams 
Alcoholic Beverage Control Commission v Robert Lee. Inc 
Tarus Jackson v Alcoholic Beverage Control Commission 

CRIME CONTROL AND PLBLIC SAFETY 

Loretta Battle \ Crime Victims Compensation Commission 
Cvnthia Austin v Crime Victims Compensation Commission 
Marcella Skaggs v Crime Victims Compensation Commission 
Talmadge E McHenrs v Crime Victims Compensation Commission 
Kenneth T Lvlle v Crime Victims Compensation Commission 
Mia Thompson-Clark \ Crime Victims Compensation Commission 

ENA IRONMENT AND NATl R\L RESOl RCES 

Teresa Heflm v Department ot"En\ ironment and Natural Resources 
Ronald Prater v Department of Environment and Natural Resources 
James F Smith v Department of Environment and Natural Resources 
Hickorv Alliance v Department of Environment and Natural Resources 
and 

Godfre\ Lumber Company. Inc 
John M SiKia \ Department of Environment and Natural Resources 
Godfrev Lumber Company. Inc v Dept /Environment & Natural Resources 
and 

Hickory Alliance 
Oregon. B Jackson. Brenda R Jackson v Greene Ct\ HIth Dept . ENR 
Robert G Gofl". Sr v Department of Environment and Natural Resources 
Scotland Water. Cedar Circle v Environment and Natural Resources 
Robert G GofT. Sr \ Department of Environment and Natural Resources 

Division of Environmental Management 

Save Our Rivers. Inc . et al v Town of Highlands. EHNR. Env Mgmt . 
William W. Cobey, Jr, Secretary 



CASE 




DATE OF 


PLBLISHED DECISION 


NUMBER 


AU 


DECISION 


REGISTER CITATION 


97 ABC 1205 


Phipps 


07/23/98 




97 ABC 1438 


Phipps 


06/19/98 




98 ABC 0357»' 


Reillv 


07/02/98 




98 ABC 0382 


Smith 


06/30/98 


13:03 NCR 350 


98 ABC 0392 


Chess 


07/30/98 




98 ABC 0401*' 


Reillv 


07/02/98 




98 ABC 0501 


Reillv 


08/11/98 




98 ABC 05 18 


Gra\ 


08/11/98 




98 ABC 0768 


Smith 


07/13/98 




97 CPS 0654 


Gra\ 


08/10/98 




97CPS 1499 


ReilK 


08/12/98 


13 05 NCR 533 


98 CPS 0065 


Owens 


06/05/98 




98 CPS 01 16 


Gray 


06/24/98 




98 CPS 01 76 


Reillv 


07/06/98 




98 CPS 0349 


Chess 


05/14/98 




97 EHR 0409 


Morrison 


07/29/98 




97EHR0451 


Reillv 


07/02/98 




97 EHR 1 365 


Chess 


07/17/98 




97 EHR 1607 


Reilly 


07/17/98 




97 EHR 1646 


Chess 


06/03/98 




97 EHR 1676 


Reilly 


07/1 7/98 




98 EHR 0042 


Reillv 


07/02/98 




98 EHR 0072»- 


Gra\ 


06/25/98 




98 EHR 0236 


Smith 


06/09/98 




98 EHR 0448»- 


Gray 


06/25/98 




91 EHR 0377 


Gra\ 


07/30/98 





13:5 



NORTH CAROLINA REGISTER 



September 1, 1998 



529 



I 



• 



CONTESTED CASE DECISIONS 



AGENCY 

Division of Marine Fisheries 

Lads LaShanda Mehin Br>ant \ EHNR. Division of Marine Fisheries 

HEALTH AND HI MAN SER\ ICES 

Stanles C Ochulo \ Off /Administrative Hearings. Mr R Marcus Lodge 

Oliver C Johnson. Hazel T Johnson \ Health and Human Services 

Louise Streater v Health and Human Services 

Richard E Laurence. Rebecca A Laurence \ Health and Human Services 

Carolyn L Freeman \ Department of Human Resources 

Christopher Gemiano. Lee Germano v Department of Health 



Division of Child Development 

DulatovvTi Preshvterian Children's 



Ctr \ DHHS. Child Development 



Division of Facility Services 

Pearlie W Lauson v DHHS. Facility Svcs . Health Care Personnel Reg 
Annie K Morgan v Health & Human Services . Facility Services 
Mooresville Hospital Mgmt Associates. Inc d/b/a Lake Norman Regional 

Medical Center v DHR. Facility Sen ices. Certificate of Need Section 
and 

Autumn Corporation and McKinlev V Jumev 
Constellation Health Services. Inc and Constellation Senior Services. 

Inc v DHR. Facilitv Services. Group Care Licensure Section 
and 

Diversified Health Group. LLC and The Innovative Health Group. Inc 
Sunlite Retirement Home. Winnie Jane Johnson v DHR. Facility Services 
Ann Da\ IS Rest Home \ Group Care Licensure Section 
Diane Lingard v DHR. Facility Svcs. Health Care Personnel Reg 
KimberK .Annette Smith Hull \ DHHS. DiMSion of Facility Services 
Deborah Ann Holt v DHHS. Division of Facility Services 
Annie K Morgan v Health & Human Ser\ ices . Facility Services 
Johnnie E Williams v DHHS. Division of Facility Services 

Division of Medical Assistance 

Charlotte-Mecklenburg Hospital .Authority, d/b/a Carolinas Medical Ctr. 
and Hanv Mahannah. M D \ DHHS. Division of Medical Assistance 



( ASE 




DATE OF 


Nl MBER 


ALJ 


DECISION 


97EHR 145Q 


Gras 


07/20/98 


98 DHR 002 1 


ReilK 


06/24/98 


98 DHR 0090 


Gras 


07/08/98 


98 DHR 0196 


Gra\ 


06/03/98 


98 DHR 0209 


Phipps 


07/15/98 


98 DHR 0721 


Gray 


08/05/98 


98 DHR 0780 


Owens 


07/28/98 


98 DHR 0654 


Gra\ 


08/06/98 


97 DHR 1034 


Becton 


07/30/98 


97 DHR 1046*" 


Phipps 


07/23/98 


97 DHR 1209 


ReilK 


06/23/98 



PI BEISHEDDEdSION 
REGISTER CITATION 



97 DHR 1529 



Gra\ 



06/24/98 



98 DHR 01 24 


Phipps 


06/11/98 


98 DHR 0197 


Phipps 


06/23/98 


98 DHR 02 14 


Becton 


06/22/98 


98 DHR 0239 


Phipps 


06/23/98 


98 DHR 0348 


Phipps 


06/22/98 


98 DHR 049b»" 


Phipps 


07/23/98 


98 DHR 0639 


ReilK 


07/02/98 


97 DHR 0621 


Smith 


07/08/98 



Division of Social Serxices 

William & Crvstal Steaklev \ DHHS. Division of Social Services 
Raji Abdus-Salaam \ Department of Human Resources. DSS-DCA 

Child Support Enforcement Section 
JetTerv Lee Graves v Department of Human Resources 
Donald L Carr. Jr v Department of Human Resources 
Mar\ in Diggs \ Department of Human Resources 
Dennis Lee McNeill \ Department of Human Resources 
Byron O .Ashbv II v Department of Human Resources 
Hubert L Morrison v Department of Human Resources 
Michael .-X Wilder v Department of Human Resources 
BilK Anthonv Jr \ Department of Human Resources 
.Alton D Bagle\ v Depanment of Human Resources 
Bemel B Berrv Jr \ Department of Human Resources 
Darrvl Simpkms v Department of Health & Human Services 
Anthons Montgomerv \ Department of Human Resources 
Terry Letterman \ Department of Human Resources 
Annette Chipman \ Department of Human Resources 
Paul J Moblev.Jr v Department of Human Resources 
Robert A Sherer v Department of Human Resources 
Rodger Hazen II \ Department of Human Resources 
Wade , A Burgess v Department of Human Resources 
Robert L Robinson \ Department of Human Resources 
Jamie A Hum v Depanment of Health & Human Services 
Renardo Jenkins \ Department of Human Resources 
.Anthons Love v Department of Human Resources 
Steven Kent Gold s Departmeni of Human Resources 
Leros J Poole v Department of Human Resources 
Hosal A McLean s Department of Health & Human Services 
Michael Bernard Hill s Department of Health & Human Services 
Charlie RatlitTJr s Depanment of Health & Human Services 
John B Halls Depanment of Human Resources 
Derrick .A Brinton s Department of Human Resources 
Tahatha D Pates Depanment of Human Resources 
.Amanda F Blount s Depanment of Human Resources 
John L Bullard s Department of Human Resources 



98 DHR 0076 


Gras 


07/20/98 


98 DHR 0771 


Ossens 


07/30/98 


98CR.A0137 


Becton 


06/23/98 


98 CRA 0545 


Reillv 


06/08/98 


98 CRA 0588 


Reillv 


06/24/98 


96CSE 1305 


Gras 


06/22/98 


96CSE1435 


Mann 


07/15/98 


96CSE 1649 


Reills 


08/12/98 


97CSE 1301 


Chess 


07/17/98 


97CSE1393 


Reillv 


06/24/98 


97CSE 1424 


Chess 


06/02/98 


97CSE 1435 


Smith 


06/12/98 


97CSE 1436 


Chess 


08/11/98 


97CSE 1442 


Phipps 


06/17/98 


97CSE 1492 


Smith 


06/22/98 


97CSE 1545 


Phipps 


07/23/98 


97CSE 1568 


Phipps 


06/1 7/98 


97CSE 1605 


Mann 


07/15/98 


97CSE1666 


Chess 


07/1 7/98 


98CSE0071 


Morrison 


06/12/98 


98CSE0130 


Reillv 


07/15/98 


98 CSE 0307 


Morrison 


07/06/98 


98CSE0310 


Smith 


06/23/98 


98 CSE 0312 


Phipps 


06/23/98 


98 CSE 0333 


Momson 


07/01/98 


98 CSE 0375 


Reills 


07/02/98 


98 CSE 0420 


Smith 


07/29/98 


98 CSE 0421 


Becton 


07/15/98 


98 CSE 0449 


Mann 


07/15/98 


98 CSE 0506 


Chess 


07/20/98 


98 CSE 0555 


Smith 


08/07/98 


98 CSE 0556 


Becton 


06/23/98 


98 CSE 0560 


Chess 


07/29/98 


98 CSE 0569 


Momson 


08/06/98 



530 



NORTH CAROLINA REGISTER 



September 1, 1998 



13:5 



CONTESTED CASE DECISIONS 



\% 



AGENCY 

Charlie Gra\ HuntJr v Department of Human Resources 
Robert L Williams v Department of Human Resources 
Teresa L Gallo\va\ v Department of Health & Human Services 
Vernon Reginald Pinkney v Department of Health & Human Services 
Elijah G Deans V Department of Health & Human Ser\'ices 
James Howard Alexander \ Department of Health & Human Services 
Vickie E Lane v Michael L Adams. Department of Human Resources 
Janice Scott Padgett (Fisher) \ Department of Human Resources 
Barbara Fanta-Blandine v Department of Human Resources 
Sharon Brim v Department of Health & Human Services 
Tenia M Sharpe v Department of Human Resources 
Ruth McFadden v Department of Human Resources 

Division of Women 's and Children 's Health 

Joseph A Nauas v DHHS, Women's/Children's Health, Nutrition Svcs 



CASE 




DATE OF 


NIMBER 


ALJ 


DECISION 


98 CSE 0607 


Smith 


06/22/98 


98 CSE 0682 


Smith 


06/22/98 


98 CSE 0769 


Becton 


07/30/98 


98 CSE 0833 


Owens 


07/29/98 


98 CSE 0867 


Phipps 


07/20/98 


98 CSE 0869 


Reilly 


08/06/98 


96 DCS 2105 


Gra\ 


07/08/98 


97 DCS 1219 


Smith 


07/29/98 


97 DCS 1486 


Morrison 


06/22/98 


97 DCS 1574 


Gra\ 


08/04/98 


98 DCS 0468 


Mortison 


06/09/98 


98 DCS 0675 


Reilly 


07/1 5/98 


98DHR0637 


Phipps 


07/02/98 



PI BUSHED DECISION 
REGISTER CITATION 



JUSTICE 



» 



Alarm Systems Licensing Board 

Claude David Huggms v Alarm Systems Licensing Board 

Auctioneer Licensing Board 

Wiley R Tyndall v Auctioneer Licensing Board 

Education and Training Standards Division 

Thomas Dwayne BrowTi v Sheriffs' Education & Training Standards Comm 
Odis Fitzgerald Darden v SheritTs' Education & Training Standards Comm 
Hoyle Kenneth Wise, Jr v SheritTs' Education & Training Standards Comm 
Hearl Oxendme v Criminal Justice Education & Training Stds Comm 
James Farrell Roberts v Criminal Justice Education & Training Stds Comm 
Phillip Keith McPherson v Sheriffs' Education & Training Standards Comm 
Darvl LaMar Bryant v Sheriffs' Education & Training Standards Comm 
William Scott Ke\ \ SheritTs' Education & Training Standards Comm 
Johnny Wayne Wills v Criminal Justice Education & Training Stds Comm 
James E Ellerbe v SheritTs' Education & Training Standards Comm 
Paul Harvey Taylor v DOJ, Criminal Justice Ed & Training Stds Comm, 

Private Protective Services Board 

Claims Verification, Inc v Private Protective Services Board 

BOARD OF MEDICAL EXAMINERS 

Joe D Crawford. M D v Medical Bd of NC Bd of Medical Examiners 

PIBLIC INSTRUCTIO.N 

Nicholas Eirschele, By and Through! His Parents. Charles & Kathleen 

Eirschele V Craven Countv Board of Education 
Mrs Ph\llisY Moore \ Cumberland Countv Schools 



98 DOJ 0871 


Morrison 


07/09/98 


97 DOJ 1236 


Phipps 


07/24/98 


97 DOJ 1319 


Phipps 


07/29/98 


97 DOJ 1698 


Reillv 


06/12/98 


98 DOJ 0022 


Smith 


07/14/98 


98 DOJ 0121 


Smith 


06/22/98 


98 DOJ 0147 


Smith 


07/16/98 


98 DOJ 0388 


Reilly 


07/24/98 


98 DOJ 0430 


Gra\ 


07/21/98 


98 DOJ 0432 


Becton 


06/08/98 


98 DOJ 0574 


Chess 


07/30/98 


98 DOJ 0600 


Morrison 


08/07/98 


98 DOJ 0841 


Phipps 


07/10/98 


98 DOJ 0848 


Smith 


08/04/98 


98BME0870 


Owens 


07/30/98 


97EDC 1234 


Phipps 


07/1 6/98 


98 EDC 0305 


Gray 


08/05/98 



STATE PERSONNEL 



Department of Correction 

Terry T Rees \ Department of Correction 

Leon Owens v Department of Cortection 

Terrv T Rees \ Department of Cortection 

Jayne D Bledsoe v Cortection. Div of Adult Probation & Parole 

Carl W Craven, II v Pender Cortectional Institution 

Tommy L Hancock v Department of Cortection 

Crime Control and Public Safety 

Roger D Davis \ Crime Control & Public Safets; St Hw>' Patrol 
.Albert R Little v Crime Control & Public Safety, Info Sys Specialists 

Employment Security Commission 

Jane B Bolin and Arlene G Sellers v. Employment Securitv' Commission 
Jane B Bolin and Arlene G Sellers v Employment Secuntv Commission 

Environment and Natural Resources 

Charles Anthony Bruce v ENR, Division of Parks and Recreation 



97 0SP 1671*-' 


Smith 


06/30/98 


98 OSP 0050 


Becton 


07/10/98 


98OSP0119»^ 


Smith 


06/30/98 


98 OSP 0543 


Owens 


07/29/98 


98 OSP 0633 


Smith 


06/25/98 


98 OSP 0881 


Owens 


08/04/98 


97 OSP 061 7 


Chess 


05/27/98 


97 OSP 11 57 


Morrison 


07/22/98 


97 OSP 1122'' 


Chess 


06/02/98 


97 OSP 1134*' 


Chess 


06/02/98 


98 OSP 0240 


Reillv 


06/08/98 



I 



Consolidated Cases. 



13:5 



NORTH CAROLINA REGISTER 



September 7, 1998 



531 



CONTESTED CASE DECISIONS 



AGENCY 

Health and Human Services 

Angela M Miles v Cumberland County Department of Social Services 
Charit\ Swick V Cumberland Counts Department ol Social Services 
Ruth Holro>d v Montgomerx Ct\ DSS, Children's SerMces 
James W Crews v DHUS, Murdoch Center 
Patricia R Quick \ DHIIS. Dorothea Di\ Hospital 
Angela M Miles v Cumberland County Department of Social Services 
Delores l.averne Rich s Health & Human Services. Dorothea Di\ Hosp 
Anthonv M Rui/ v Department ot Health & Human Svcs, Youth Svcs 
Rudolph Waters v DHHS, Youth Services. Dobbs School 
Euvvell Falconer v Karen A Andrews. Gaston-Lincoln .Area Mental Health 
JetTrey L Williams v Dorothea Dix Hospital 

Barbara Jean Paquette v Durham County (respondeat superior for the 
Durham Countv Public Librarv ) 



(ASK 




DATK OF 


PUBLISHED DECISION 


M MBKR 


A I, J 


DECISION 


REGISTER CITATION 


97OSP06I3*- 


Gray 


07/10/98 




97 OSP 0775 


Gray 


07/10/98 




97 0SP 1586 


Smith 


05/27/98 


13 02 NCR 257 


98 OSP 0060 


Gray 


07/20/98 




98 OSP 0061 


Becton 


07/16/98 




98 OSP 0084*' 


Gray 


07/10/98 




98 OSP 0120 


Grav 


07/08/98 




98 OSP 0454 


Gray 


06/04/98 




98 OSP 0474 


Morrison 


07/30/98 




98 OSP 0538 


Reillv 


08/06/98 




98 OSP 0595 


Becton 


07/22/98 




98 OSP 0765 


Morrison 


08/05/98 





Secretary of Slate 

Jonathan M Demers v Department of Secretary of State 

Department of Transportation 

Larry W Davis v Department of Transportation 

Sherry Lynn Noles v Department of Transportation-NCDMV 

University of North Carolina 

Douglas Love. Jr v UNC Hospitals 

Deborah J Fenner v NC Central University 

Joyce M Smith v North Carolina Central UniversiP. 

Edwin Swam v University of North Carolina at Chapel Hill 

Leo Watford, Roosevelt Parris. Claiborne Baker, et al v LIniversity of 

North Carolina at Chapel Hill 
Jonathan 1. Fann v North Carolina State University Physical Plant 
Robert W Brinson v NC State University 

STATE TREASIRER 

Hugh A Wells v Consolidated Judicial Retirement System of NC. 
Bd of Trustees Teachers and State Employees' Retirement System 



97 OSP 1018 


Becton 


07/07/98 


13 03 NCR 


343 


98 OSP 0241 


Grav 


07/08/98 






98 OSP 0269 


Chess 


08/11/98 






97 OSP 0662 


Reillv 


06/08/98 






97 OSP 0902 


Chess 


05/29/98 






97 OSP 1297 


Smith 


06/25/98 






97 OSP 1694 


Morrison 


07/31/98 






98 OSP 0254 


Chess 


07/17/98 






98 OSP 0465 


Becton 


07/17/98 






98 OSP 0887 


Owens 


08/10/98 






98 DST 03 1 6 


Morrison 


06/05/98 


1301 NCR 


166 



TR.\NSPORTATION 

David Warren Dew et al 



v Motor Vehicles. Alexander Killens Comm 



95 DOT 1144 



Grav 



06/04/98 



l!NIVERSIT^ OF NORTH CAROLINA 

Ladonna P James v UNC Hospitals 



98 UNC 0591 



Becton 



07/20/98 



532 



NORTH CAROLINA REGISTER 



September 1, 1998 



13:5 



CONTESTED CASE DECISIONS 



STATE OF NORTH CAROLINA 
k COUNTY OF NEW HANOVER 



IN THE OFFICE OF 

ADMINISTRATIVE HEARINGS 

97CPS1499 



CYNTHIA AUSTIN, 
Petitioner, 



CRIME VICTIMS COMPENSATION COMMISSION, 
Respondent. 



RECOMMENDED DECISION 



This contested case came on for hearing before the undersigned administrative law judge on respondent's Motion for 
Summar>' Judgment. 

ISSUE 

Did the respondent properly deny the petitioner's claim based on the victim participating in criminal activity at the time 
of death? 



I 



UNCONTESTED FACTS 

1. Petitioner filed an application with the North Carolina Crime Victims Compensation Commission under the North 
Carolina Crime Victims Compensation Act based upon the death of her daughter on March 31, 1997. The North 
Carolina Crime Victims Compensation Commission denied petitioner's claim on the grounds that the victim was 
participating in criminal activit>' at the time of death. 

2. The respondent filed a Motion for Summary Judgment on Februar> 1 8. 1998. The victim's father. Wade Allen, filed 
a Motion to Intervene on March 2. 1998. The Motion was denied on June 25, 1998, for being untimely. The Motion 
for Summary Judgment was granted on July 6, 1998. The respondent filed a proposed recommended decision on 
Augusts, 1998. 

3. The Report of Autopsy Examination states that the victim had cocaine in her system at the time of death. It further 
states that "the use of cocaine was not immediately prior to death." The autopsy also revealed that the victim, 
Angela Alan, was a 24 year old A fi-ican- American woman. Twelve buckshot pellet wounds in the back caused her 
death. The shots, according to the autopsy report, were fired at a distance. The victim, a mother of four, was shot 
by an uncle. The death certificate indicates that the murder occurred at 7:00 on the morning of March 31, 1997. 

CONCLUSIONS OF LAW 

1. N.C. Gen. Stat. § 90-95 states in pertinent part: 

(a) Except as authorized by this Article, it is unlawful for any person: 

(1) To manufacture, sell or deliver, or possess with intent to manufacture, sell or deliver, a controlled 

substance; 



(2) To create, sell or deliver, or possess with intent to sell or deliver a counterfeit controlled 
substance; 

(3) To possess a controlled substance. 

A recognized rule of statutory construction is that words used in a statute are to be given a consistent interpretation 
each time the word is employed. The above statute uses the word "possess" three times - possess with intent to 
manufacture, sell or deliver a controlled substance, possess with intent to sell or deliver a counterfeit controlled 
substance, and possess a controlled substance. The word is clearly used in its ordinar\ dictionary meaning of "to 



13:5 



NORTH CAROLINA REGISTER 



September 1, 1998 



533 



gBSBHBEBB9BaHC 



COSTESTED CASE DECISIOSS 



ha\e as propert>; o\sn."" State criminal lav\ also recognizes constructi\e possession s\here the substance is found 
on premises under the defendant's exclusi\e control. 

3. "Possess" means ha\ing control of propert>. A person controls a substance, for example, when it is placed in a 
balloon and hidden in a bod> ca\ it>. The person intends to rerrie\e the substance. A crime is committed. Ho\ve\er. 
in this case, the autops\ report found that the decedent's chemistr\' contained cocaine. Under the ordinary meaning 
of "possess", the decedent did not ha\e the substance as a property o\er which she had control. Rather, she had 
mereK consumed the controlled substance. If the state of ha\ ing consumed controlled substances should be a crime. 
the General AssembK ma> enact the appropriate legislation. The General AssembK knows how to criminalize 
consumption. Under N.C. Gen. Stat. § 20-138.1. it is unlawful to dri\e a \ehicle upon a street orhighwa\ "■(a)fter 
ha\ ing consumed sufficient alcohol that (one) has, at any relevant time after the driving, an alcohol concentration 
of 0.08 or more." 

4. No e\idence shows an\ contributor}, misconduct. The \ictim had consumed cocaine ""not immediateK prior to 
death." She was shot at a distance b\ her uncle earl\ one morning. No known connection exists between the cocaine 
and the murder. 

5. The undersigned originalK granted summan, judgment for the respondent and requested that a proposed decision 
be submitted. Howe\er. after reading the proposal and re\iewing the file again, the undersigned determined that 
summap. judgment should be rendered against the respondent. According to Rule 56(c). Rules of Civil Procedure, 
summan. judgment ma) be rendered against the mo\ ing part\'. 

RECOMMENDED DECISION 

It is recommended that partial summary judgment be entered in the fa\or of the petitioner because there is no genuine issue 
of material fact that compensation should be awarded and. as a matter of law. the respondent should grant the compensation. However, 
the matter should be remanded to the Director to determine the amount of the compensation and to whom it should be awarded. The 
petitioner is the mother of the \ ictim. The father. Wade .Allen, and the husband. Rodnev Hanslev . should be in\ol\ed in the process. 

NOTICE 

The agencv" making the final decision in this contested case is required to gi\e each part\ an opportunit\ to file exceptions 
to this recommended decision and to present w ritten arguments to the agenc>. The agencv will ser\e a cop_\ of the final decision on 
all parties, the attomevs of record and the Office of ,Administrati\e Hearings. The agencv that will make the final decision in this 
case is the North Carolina Crime Victims Compensation Commission. 

This the 12" dav of August. 1998. 



Robert Roose\elt ReilK. Jr 
Administrati\e Law Judsae 



534 NORTH CAROLI.\A REGISTER September ], 1998 13:5 



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